tyreeanddangelo
Chief Compliance Officer
Dallas, TX · Exec
Sponsorship not specifiedDetected 50 days ago
ComplianceAccountingM&ACustomer SupportLeadership
About the role
- 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.
Requirements
- 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.
- Proficiency with compliance technology platforms and a track record of leading systems implementations.
- Series 65 or equivalent required
- 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.
- Excellent leadership and a builder mentality - comfortable with ambiguity, able to create structure where little exists previously, and energized by a fast-moving environment.
- Compensation
- Highly competitive compensation consisting of base salary, an annual performance bonus, and equity ownership.
Nice to have
- Dallas, Texas (in-person strongly preferred)
- JD, MBA, or equivalent advanced degree preferred but not required.
- IACCP designation strongly preferred.
Compensation
- Highly competitive compensation consisting of base salary, an annual performance bonus, and equity ownership.
Company info
- Serve as primary SEC liaison, managing all examinations, inquiries, and regulatory correspondence.
- Own the Form ADV process across all RIA entities and acquired practices.
- Monitor evolving SEC rules (Marketing Rule, Reg BI, custody) and translate them into firm policy rapidly.
- Maintain the firm's fiduciary framework across every practice and service line.
- Design and maintain a centralized, scalable WSP framework with a governance calendar tied to regulatory changes and M&A activity.
- Lead selection and optimization of the compliance tech stack covering personal trading, surveillance, archiving, and reporting.
- Build automated surveillance and exception reporting workflows that scale with firm growth.
- Develop a repeatable M&A compliance due diligence playbook and post-close integration framework.
- Recruit and develop a tiered compliance team with a staffing model that balances centralized oversight with practice-level support.
- Build a compliance culture that positions the function as a business enabler.
- Conduct annual firm-wide risk assessments by practice, service line, and regulatory exposure.
- Oversee portfolio surveillance for suitability, fee billing accuracy, and best execution across custodians.
- Manage conflicts of interest disclosures and mitigation across compensation structures and affiliated relationships.
- Maintain a vendor due diligence program covering all material third-party relationships.
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