Chief Compliance Officer
Tyree and D'Angelo PartnersDallas, Texas, United States · Posted 4 months agoDescription
Position Title: Chief Compliance Officer
Reporting To: CEO
Location: Dallas, Texas (in-person strongly preferred)
Company: TDP Confidential Portfolio Company
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.
Confidential Portfolio Company Overview
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 Chief Compliance Officer 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.
Risk Management & Ongoing Oversight
- 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
- 10+ 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.
Similar jobs
Est. 120,000 USD
Foundation Risk Partners, one of the fastest growing insurance brokerage and consulting firms in the US, is adding a Chief Compliance Officer to their team at Advus Financial Partners in the Orlando Metro Region. Job Sum…
Est. 207,500 USD
About the Role iCapital is looking to hire a Senior Vice President to join the Broker Dealer and Distribution Compliance team within the Regulatory and Compliance group. This individual supports the Chief Compliance Offi…
Est. 120,000 USD
About Us: ProShares now offers one of the largest lineups of ETFs, with over $100 billion in assets. The company is a leader in strategies such as crypto, dividend growth, interest rate hedged bond and geared (leveraged…
Est. 85,000 USD
About TPG TPG is a leading global alternative asset management firm, founded in San Francisco in 1992, has investment and operational teams around the world. TPG invests across a broadly diversified set of strategies, in…
Est. 120,000 USD
The Senior Compliance Manager will lead critical compliance projects and initiatives within our compliance framework. This role requires deep expertise in financial markets regulations, strong project management skills,…
Est. 82,500 USD
About the Role iCapital is looking for a Regulatory Reporting Associate to join the Regulatory and Compliance team. This individual will work closely with the Vice President of Regulatory Reporting and the Co-Chief Compl…
Est. 162,500 USD
About the Role iCapital is looking to hire a Senior Vice President to join the Broker Dealer and Distribution Compliance team within the Regulatory and Compliance group. This individual supports the Chief Compliance Offi…
Est. 85,000 USD
Our Compliance Analyst, Regulatory Requests will join a rapidly growing organization focused on empowering innovation, growth and efficiency. java test We’re looking for someone who: Thinks strategically and is inquisiti…
Est. 120,000 USD
The Compliance team is looking to add a Sr. Associate to their team in Darien, CT or Philadelphia, PA. This role offers a high degree of visibility and opportunity for advancement. THE SUCCESSFUL CANDIDATE IS EXPECTED TO…
Est. 100,000 USD
About the Role iCapital is looking for a Compliance Associate to join its Regulatory and Compliance team to lead the review and approval process for marketing materials created by our investment advisers and broker-deale…
Est. 200,000 USD
About Us Curi Capital, founded in 2005, is a rapidly growing national registered investment advisory firm (RIA) based in Chicago. We are committed to building meaningful relationships and making a difference in our clien…
Est. 85,000 USD
About TPG: TPG is a leading global alternative asset management firm, founded in San Francisco in 1992, with investment and operational teams around the world. TPG invests across a broadly diversified set of strategies,…
Est. 127,000 USD
Join us in building the future of finance. Our mission is to democratize finance for all. An estimated $124 trillion of assets will be inherited by younger generations in the next two decades. The largest transfer of wea…
Est. 207,500 USD
About the Role iCapital is looking to hire a Senior Vice President to join the Broker Dealer and Distribution Compliance team within the Regulatory and Compliance group. This individual supports the Chief Compliance Offi…
As an IT Compliance Manager, you will conduct in-depth evaluations of our technological infrastructure to ensure compliance with financial market regulations and data protection standards. This role entails a strong unde…
Est. 82,500 USD
About the Role iCapital is looking for a Regulatory Reporting Associate to join the Regulatory and Compliance team. This individual will work closely with the Vice President of Regulatory Reporting and the Co-Chief Compl…
Est. 77,500 USD
About the Role iCapital is looking to hire a Compliance Associate to join its Regulatory and Compliance team to lead the review and approval process for investor AML and KYC with a strong private fund focus. This role wi…
Est. 187,500 USD
The Role Sixth Street’s Compliance team partners with all aspects of Sixth Street to build and maintain a best-in-class compliance program that addresses applicable regulatory requirements and industry best practices. Th…
About AQR Capital Management AQR is a global investment firm built at the intersection of financial theory and practical application. We strive to deliver concrete, long-term results by looking past market noise to ident…
Est. 65,000 USD
Company Description Farther is a rapidly growing RIA that combines expert advisors with cutting-edge technology - delivering a comprehensive, tailored wealth management experience. Farther’s founders are leaders and inno…
Connor, Clark & Lunn Financial Group (“CC&L FG”) is looking for a Senior Manager, Portfolio Compliance to take on a newly defined role within our Operations Risk Group. The ideal candidate is a strong leader and…
About AQR Capital Management AQR is a global investment firm built at the intersection of financial theory and practical application. We strive to deliver concrete, long-term results by looking past market noise to ident…
Est. 85,000 USD
Company Description Farther is a rapidly growing RIA that combines expert advisors with cutting-edge technology - delivering a comprehensive, tailored wealth management experience. Farther’s founders are leaders and inno…
Connor, Clark & Lunn Financial Group (“CC&L FG”) is looking for a Senior Manager, Portfolio Compliance to take on a newly defined role within our Operations Risk Group. The ideal candidate is a strong leader and…
Est. 175,000 USD
Chicago Trading Company (CTC) is a premier proprietary trading firm specializing in options market making. Our collaborative culture fuels innovation in quantitative research, systematic trading strategies, and cutting-e…
Est. 65,000 USD
At Prairie Capital, we are committed to helping clients navigate the complexities of significant financial resources while achieving their long-term goals. Our culture is rooted in respect, collaboration, and accountabil…
Est. 165,000 USD
About Us DriveWealth is on a mission to make investing easier. We believe that everyone should have the ability to control their financial future, and that access to financial markets should not be limited by geography,…
Est. 207,500 USD
About the Role iCapital is seeking a Senior Vice President to join its Regulatory and Compliance team to manage iCapital’s registered 1940 Act product compliance program. This role will work closely with the senior portf…
Est. 85,000 USD
About SRS Acquiom SRS Acquiom delivers the smartest way to run a deal™ through a platform and services designed to help deal parties manage complex M&A and loan agency transactions more efficiently. Based in Denver,…
Est. 197,500 USD
Who are we? IEQ Capital is a Registered Investment Advisor seeking to transform traditional wealth management. Our quest is to integrate the Intellectual and Emotional Quotient, generating exceptional investment results…