Chief Compliance Officer and General Counsel

Job Title: Chief Compliance Officer and General Counsel

Work Location: Remote/Onsite

Employment Type: Full Time

Reports to: CEO

Company Overview:

DPL Financial Partners is leading the commission-free annuity marketplace dedicated to empowering Registered Investment Advisors (RIAs) their clients and consumers with transparent, low-cost insurance solutions. Headquartered in Louisville, Kentucky, we partner with top carriers to deliver best-in-class annuities and life insurance products, enabling RIAs to integrate these tools into holistic financial planning. Our proprietary platform, embedded technology, and unbiased consulting services help advisors differentiate their practices, enhance client outcomes, and grow asset under management (AUM) while adhering to fiduciary standards. With a commitment to innovation, efficiency, and client-centric values, DPL is disrupting the financial services industry by eliminating commissions and fostering sustainable growth.

Position Summary:

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 DPLs operations align with evolving federal and state regulations in the financial services sector, including SEC, FINRA, and insurance-specific requirements.

Key Responsibilities:

• Compliance Program Leadership:

• Design, implement, and maintain a comprehensive enterprise-wide compliance program tailored to DPLs annuity marketplace, including anti-money laundering (AML), know-your-customer (KYC), and fiduciary conduct.

• 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, such as 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 companys primary legal advisor, managing all corporate legal matters, including contracts.

• Oversee corporate governance practices and entity formations to support DPLs 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 risk.

• Stakeholder Collaboration and Policy Development:

• Partner with executive leadership, including the CFO and Head of Distribution, to integrate legal and compliance considerations into business decisions.

• 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 DPLs 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.

Qualifications:

• Education: Juris Doctor (J.D.) from an accredited law school
• Active license to practice law in relevant jurisdictions or ability to obtain
• Experience: 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 SECFINRA filings and AML programs is essential

Skills and Competencies:

• 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

Preferred Certifications:

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

What We Offer:

• 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
• 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

DPL Financial Partners is an equal opportunity employer committed to diversity and inclusion. We encourage applications from all qualified candidates. To apply, please submit your resume and a cover letter outlining your vision for legal and compliance leadership.