Chief Compliance Officer and General Counsel

DPL Financial Partners•Louisville, KY

7d•Hybrid

About The Position

DPL Financial Partners is seeking a dynamic and strategic Chief Compliance Officer (CCO) and General Counsel to lead our legal and compliance functions. Reporting directly to the CEO and collaborating closely with the executive team, this senior executive role will oversee all aspects of regulatory compliance, risk management, corporate governance, and legal affairs in a fast-paced, RIA-focused environment. As a key member of the C-suite, the CCO and General Counsel will ensure DPL's operations align with evolving federal and state regulations in the financial services sector, including SEC, FINRA, and insurance-specific requirements. This position is ideal for a seasoned legal leader passionate about innovation in commission-free insurance solutions and committed to fostering a culture of integrity and transparency.

Requirements

Juris Doctor (J.D.) from an accredited law school; active license to practice law in relevant jurisdictions (or ability to obtain).
10+ years of progressive legal experience in the financial services industry, with at least 5 years in a senior compliance or general counsel role at an RIA, insurance firm, or fintech company. Proven track record in regulatory compliance for annuities, life insurance, or investment advisory Experience with SEC/FINRA filings, AML programs is essential.
Deep knowledge of U.S. financial regulations, including SEC Investment Advisers Act, FINRA rules, and state insurance laws.
Strong strategic thinker with exceptional analytical, negotiation, and communication skills; ability to translate complex legal concepts into actionable business advice.
Demonstrated leadership in building compliance programs and managing cross-functional teams in a high-growth environment.
Proficiency in risk assessment tools, contract management software, and data privacy frameworks.
Commitment to ethical leadership and fostering an inclusive, collaborative culture

Nice To Haves

Certified Anti-Money Laundering Specialist (CAMS), or equivalent compliance certifications.

Responsibilities

Compliance Program Leadership: Design, implement, and maintain a comprehensive enterprise-wide compliance program tailored to DPL's annuity marketplace, including anti-money laundering (AML), know-your-customer (KYC), and fiduciary Conduct regular risk assessments, audits, and training to mitigate regulatory risks and promote ethical practices across RIA partnerships and internal teams.
Regulatory Oversight and Advocacy: Monitor and interpret changes in financial regulations (e.g., SEC fiduciary rules, NAIC insurance guidelines, and Bank Secrecy Act requirements). Represent DPL in interactions with regulators, industry associations, and external auditors, while preparing reports for the Board of Directors on compliance status and emerging risks.
Legal Strategy and Corporate Governance: Serve as the company's primary legal advisor, managing all corporate legal matters including contract Oversee corporate governance practices and entity formations to support DPL's growth initiatives.
Risk Management and Litigation: Identify and address legal and compliance risks associated with product offerings, data privacy (e.g., GDPR/CCPA compliance), and technology integrations. Manage litigation, investigations, and dispute resolutions, coordinating with external counsel as needed to minimize exposure and financial
Stakeholder Collaboration and Policy Development: Partner with executive leadership, including the CFO and Head of Distribution, to integrate legal and compliance considerations into business Develop and enforce internal policies on employee relations, consumer protection, and ethical standards, while educating teams on compliance obligations.
Team Leadership and Culture Building: Build and lead a high-performing legal and compliance team, fostering a culture of accountability and continuous improvement. Provide mentorship and ensure alignment with DPL's core values of transparency, innovation, and client focus.
Innovation Support: Advise on product development, platform enhancements, and strategic partnerships to ensure all initiatives comply with regulatory frameworks, enabling DPL to scale responsibly in the commission-free insurance space.

Benefits

Competitive compensation package, including base salary, performance-based incentives, and equity opportunities.
Comprehensive benefits, including health, dental, vision, 401(k) matching, and professional development stipend.
Flexible hybrid work arrangement in Louisville, KY, with opportunities for remote collaboration
A collaborative, innovative culture with direct impact on disrupting the financial services industry
Access to industry- leading tools and partnerships that support work-life balance and career growth

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