Compliance Director, Range
More information about location
All-in-one wealth management dashboard
Be an early applicant
All-in-one wealth management dashboard
21-100 employees
Be an early applicant
More information about location
21-100 employees
Company mission
To eliminate your stress and improve your financial outcomes, no matter where you are on your money journey.
Role
Who you are
- 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
- 10+ years of compliance experience, preferably in an SEC-registered investment advisor
- 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
What the job involves
- 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
- 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
Our take
Due to inflation and the rising cost of living, the financial environment for all levels of earners has become increasingly strained. Furthermore, personal financial planning, especially for families and shared-income households, can take up a lot of time so there’s more of an onus than ever on financial planners and advisors to use the latest in technology to squeeze all the value possible out of one’s earnings. Range is one of these companies and has created an all-in-one wealth management platform for high earners.
Range’s solutions for wealth management include investment consultancy, tax, retirement, education, and estate planning as well as insurance optimisation. Alongside its teams of service providers, Range also uses AI to offer personalised customer guidance and evaluations.
With substantial Series A awarded in 2023, Range is a young company that emerged out of the pandemic and so has started out strong. It will use its funds to expand its product and engineering teams and speed up the development of its AI fintech tools.
Kirsty
Company Specialist at Welcome to the Jungle
Insights
Few candidates hear
back within 2 weeks
Company
Funding (2 rounds)
Nov 2024
$28m
SERIES B
May 2023
$12m
SERIES A
Total funding: $40m
Company benefits
- Healthcare Benefits
- Technology Allowance
- Team Weeks
- Salary + Equity Packages
- Generous PTO
- Paid Parental Leave
Company HQ
Tysons, VA
Articles
Leadership
David Cusatis
(Chief Architect & Co-Founder)Previously Software Engineer at Twitch, Amazon, IBM and Always Prepped.
Fahad Assan
(CEO & Co-Founder)Previously Investor at Activant Capital, Founding VP at Convoy Inc, Founder and CEO at Always Prepped and VP of Business Development at Intelliworks.
Salary benchmarks
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