Chief Compliance Officer
Dallas, TX On-site
Salary not listedJobFig found this opening at its original source and checks that it remains available.
About the role
Tyree & D’Angelo Partners (“TDP”) is a private equity investment firm with offices in Chicago and Dallas that makes control ownership investments in, and partners with, lower middle market businesses with the goal of creating meaningful value for all involved. TDP is currently investing out of its third fund and has managed and created over $3 billion of capital and company enterprise value. TDP has significant experience investing in financial, business, and consumer service businesses and has completed over 2,000 investment partnerships. Please visit www.TDPfund.com for more information. TDP has invested in a confidential portfolio company in the wealth management industry. The Company is a rapidly growing Registered Investment Advisor (“RIA”), focused primarily on delivering fee-based comprehensive wealth management services to high net worth and mass affluent customers. The Company is based in Dallas and forms long-term partnerships with leading independent RIAs and advisory teams across the US. The Company’s mission is to improve the lives of its advisors by helping them achieve their personal, professional, and financial goals. It does so by creating customized plans to deliver tailored support and resources that ultimately result in the industry-leading advisor satisfaction, customer service, and organic growth. Areas of support include compliance, recruiting, HR, accounting, finance, advisor growth, advisor ownership, and M&A resources. Advisors are aligned through long-term economic incentives that deliver the most value over time with the lowest risk. The Company’s leadership team purposefully seeks highly experienced executives with a proven track record of growing advisors, customers, and cash flows. We are currently seeking a hands-on Chief Compliance Officer to join our Confidential Portfolio Company. This leader will oversee the firm’s regulatory compliance program, ensure compliance accuracy, regulatory adherence, and operational scalability across the Company, which is rapidly growing. The ideal candidate brings deep experience in RIA compliance, combined with the strategic mindset to support a multi-entity growth strategy.
What you'll bring
- 10+ years of compliance experience, with meaningful time at an SEC-registered RIA or in an RIA-focused regulatory/consulting role
- Experience interfacing directly with the SEC, whether through routine examinations, deficiency responses, or ongoing regulatory dialogue.
- Strong working knowledge of Form ADV preparation, including multi-entity filings and material change amendments triggered by acquisitions.
- Demonstrated experience building or significantly scaling a compliance function within a fast-growing and/or multi-practice RIA environment, including hands-on experience with M&A compliance integration, including due diligence and post-close onboarding of acquired practices.
- Proficiency with compliance technology platforms and a track record of leading systems implementations.
- Excellent leadership and a builder mentality – comfortable with ambiguity, able to create structure where little exists previously, and energized by a fast-moving environment.
- Series 65 or equivalent required
- Company: TDP Confidential Portfolio Company
- JD, MBA, or equivalent advanced degree preferred but not required.
- IACCP designation strongly preferred.