Position Title: Vice President of ComplianceReporting To: CEO
Location: Dallas, Texas (in-person strongly preferred)
Company: TDP Confidential Portfolio Company
Position OverviewWe are currently seeking a hands-on
Vice President of Compliance 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 ResponsibilitiesBuild 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- 5+ 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.
