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. 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.

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 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 companys primary legal advisor managing all corporate legal matters including contract 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
• 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 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 SEC/FINRA filings 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
• 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

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.

Physical Demands and Working Conditions: While performing the duties of this Job the employee will be required to sit or utilize standing desk while working on computer for long periods of time. The employee may occasionally lift and/or move up to 25 pounds. The noise level in the work environment is usually moderate. The physical demands described here are representative of those that must be met by an employee to successfully perform the essential functions of this job. The work environment is representative of what an employee encounters while performing essential job functions. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.

Required Experience:

Chief