Chief Compliance Officer

Responsibilities

• Build a best-in-class compliance infrastructure for a fast-growing, multi-practice RIA
• Serve as the primary SEC liaison, managing examinations, inquiries, and regulatory correspondence
• Own the Form ADV process across all RIA entities and acquired practices
• Monitor evolving SEC rules and translate them into firm policy
• Lead selection and optimization of the compliance tech stack
• Develop a repeatable M&A compliance due diligence playbook and post-close integration framework
• Conduct annual firm-wide risk assessments and oversee portfolio surveillance
• Partner with M&A, finance, HR, and technology to embed compliance in growth initiatives

Requirements

• 10+ years of compliance experience, specifically with an SEC-registered RIA
• Direct experience interfacing with the SEC through examinations or deficiency responses
• Strong working knowledge of Form ADV preparation and multi-entity filings
• Proven experience scaling a compliance function within a multi-practice RIA environment
• Experience with M&A compliance integration and due diligence
• Proficiency with compliance technology platforms
• Series 65 or equivalent required

Preferred Qualifications

• JD, MBA, or equivalent advanced degree
• IACCP designation

About the Company

TDP has invested in a confidential portfolio company in the wealth management industry. The Company is a rapidly growing Registered Investment Advisor (RIA) focused on delivering fee-based comprehensive wealth management services to high net worth and mass affluent customers.