Chief Compliance Officer Dallas, TX

Tdpfund; Dallas (TX); On-site; USD 150,000 - 200,000; Full time

Job summary

A private equity investment firm in Dallas seeks a hands-on Vice President of Compliance to oversee its regulatory compliance program. The role demands over five years of compliance experience, preferably with SEC-registered firms, and a demonstrated ability to scale compliance functions. Responsibilities include managing SEC relations, building compliance infrastructure, and developing automated reporting workflows. Candidates should possess strong leadership skills and knowledge of compliance technologies, with a competitive compensation package offered including base salary and equity ownership.

Qualifications

• 5+ years of compliance experience, ideally at an SEC-registered RIA.
• Experience with SEC examinations and Form ADV preparation.
• Demonstrated experience scaling a compliance function in multi-practice RIA.

Responsibilities

• Oversee the firm’s regulatory compliance program and build compliance infrastructure.
• Serve as the primary SEC liaison and manage all regulatory correspondence.
• Develop automated surveillance and exception reporting workflows.

Skills

Compliance experience

Regulatory knowledge

Leadership

M&A compliance integration

Compliance technology proficiency

Education

JD, MBA, or equivalent advanced degree

IACCP designation

Series 65 or equivalent

Tools

Compliance technology platforms

Job description

Position Title: Vice President of Compliance

Reporting To: CEO

Location: Dallas, Texas (in-person strongly preferred)

Private Equity Firm Overview

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.

Position Overview

We are currently seeking a hands‑on Vice President of Compliance 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.

Job Responsibilities

Build a best‑in‑class compliance infrastructure (including scalable teams, processes, and systems) for a fast‑growing, multi‑practice RIA with industry‑leading organic and M&A growth.

Foundational & Regulatory

• 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.

Scalable Infrastructure & M&A Integration

• 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.

Reporting, Culture & Strategic Partnership

• Deliver regular compliance reporting to firm leadership including risk dashboards, exam updates, and incident logs.
• Design and deliver role‑based annual compliance training with attestation across all practices.
• Partner with M&A, finance, HR, and technology to embed compliance early in all growth initiatives.
• Position the firm’s compliance infrastructure as a competitive advantage in advisor recruiting and acquisitions.

Qualifications

• 5+ 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.
• JD, MBA, or equivalent advanced degree preferred but not required.
• IACCP designation strongly preferred.
• Series 65 or equivalent required

Compensation

Highly competitive compensation consisting of base salary, an annual performance bonus, and equity ownership.