Chief Compliance Officer

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.

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
• Prominent 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