VP of Compliance & Regulatory Strategy — Rapidly Growing RIA

Tdpfund; Dallas (TX); Sur place; USD 150 000 - 200 000; Plein temps

Résumé du poste

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.

Responsabilités

• 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.

Connaissances

Compliance experience

Regulatory knowledge

Leadership

M&A compliance integration

Compliance technology proficiency

Formation

JD, MBA, or equivalent advanced degree

IACCP designation

Series 65 or equivalent

Outils

Compliance technology platforms

Description du poste

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.