What are the responsibilities and job description for the Compliance Director position at RANGE?
Are you ready to disrupt? Range is a cutting-edge wealth management platform designed to revolutionize the industry. With state-of-the-art technology, world-class advisors, and data-driven insights, we simplify your finances like never before.
Powered by AI and supported by a team of financial experts, Range is building proprietary tools and services to help you manage every aspect of your financial life. From investment planning and tax strategies to retirement and estate planning, everything you need is seamlessly integrated into one platform.
Join us in transforming the wealth management industry. Backed by Google's AI-focused Gradient Ventures and Cathay Innovations, we're assembling a team of top talent to make quality financial advice accessible to millions. If you're ready to create a groundbreaking platform and make a lasting impact, join Range.
About the role
This person will play a key role in ensuring the firm's adherence to regulatory requirements, maintaining a robust compliance program, and fostering a culture of ethical business practices. This position requires a deep understanding of SEC and state regulations governing RIAs, strong analytical skills, and the ability to adapt to a dynamic and evolving regulatory landscape.
This role is based at Range's Headquarters in McLean, VA or in New York City. If you are not currently located in one of these areas, your willingness to relocate will be a contingency for employment.
What you'll do with us
- Develop, implement, and maintain the firm's compliance program in line with SEC regulations.
- Monitor and enforce adherence to policies, procedures, and regulatory requirements.
- Conduct internal audits and risk assessments to ensure regulatory compliance.
- Oversee filings, disclosures, and reporting obligations with the SEC.
- Lead compliance training programs for employees and management.
- Serve as the primary liaison with regulatory bodies, auditors, and legal counsel.
- Investigate and resolve compliance issues, ensuring timely and appropriate corrective action.
- Stay current on regulatory changes and advise the leadership team on potential impacts.
- Maintain compliance-related records, systems, and documentation.
What will set you apart
Benefits
Range is proud to be an equal opportunity workplace. We are committed to equal employment opportunities regardless of race, color, ancestry, religion, sex, national origin, sexual orientation, age, citizenship, marital status, disability, gender identity or Veteran status. As a company, we are committed to designing products, building a culture, and supporting a team that reflects the diverse population we serve.
