VP of Compliance & Regulatory Strategy — Rapidly Growing RIA

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

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.