Chief Compliance Officer

Range Financial Services Compliance Role

Range is creating AI-powered solutions to eliminate financial complexity for our members. We're transforming wealth management through the perfect blend of cutting-edge technology and human expertise. We're obsessed with member experience! We've built an integrated platform that tackles the full spectrum of financial needs—investments, taxes, retirement planning, and estate management—all unified in one intuitive system.

Backed by Scale, Gradient Ventures and Cathay Innovations, we're in hyper-growth mode and looking for exceptional talent to join our starting lineup. Every Ranger at this stage is shaping our culture and way of life—from former CEOs and startup founders to experts from leading hedge funds and tech companies.

If you're ready to build something that truly matters in financial services, bring your talent to Range. Here, you'll make a genuine impact on how people manage their financial lives while working alongside a team that celebrates wins, makes big decisions, and blazes new trails together.

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, FINRA and state regulations governing RIAs, Broker Dealers, strong analytical skills, and the ability to adapt to a dynamic and evolving regulatory landscape.

We're excited to hire this role at Range's Headquarters in McLean, VA. All of our positions follow an in-office schedule Monday through Friday, allowing you to collaborate directly with your team. If you're not currently based in the area but love what you see, let's discuss relocation as part of your journey to joining us.

What You'll Do With Us

• Develop, implement, and maintain the firm's compliance program in line with government 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 appropriate government entities (SEC, FINRA, IRS, etc)
• 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

• 12+ years of compliance experience, preferably in an SEC-registered investment advisor and/or a FINRA registered Broker Dealer
• Strong understanding of SEC rules and regulations, including the Investment Advisers Act of 1940.
• Experience leading and scaling compliance programs in a tech-forward environment.
• Proven ability to interact with regulators and external auditors.
• Strong analytical, problem-solving, and decision-making skills.
• Excellent communication and interpersonal skills to lead training and collaborate with teams.
• Bachelor's degree required; JD or relevant certification (e.g., IACCP) preferred.
• Series 7 and Series 24 required.

Benefits

• Health & Wellness: 100% employer-covered medical insurance for employees (75% for dependents), plus dental and vision coverage
• 401(k): Retirement savings program to support your future
• Paid Time Off: Dedicated time to reset and recharge plus most federal holidays
• Parental Leave: Comprehensive leave policy for growing families
• Meals: Select meals covered throughout the week
• Fitness: Monthly movement stipend
• Equity & Career Growth: Early exercise eligibility and a strong focus on professional development
• Full access to cutting-edge AI tools: We cover the cost so you can experiment, build, and move faster
• Annual Compensation Reviews: Salary and equity refreshes based on performance
• Boomerang Program: After two years at Range, you can take time away to start your own company. We'll hold your spot for 6 months - and pause your equity vesting, which resumes if you return.

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.