Chief Compliance Officers/Counsels

Job Title: Chief Compliance Officer and General Counsel Work Location : Remote/Onsite Employment Type : Full Time Reports to : CEO reputed company reputed company 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 reputed company these tools into holistic financial planning. Our proprietary platform, embedded technology, and unbiased consulting services help advisors differentiate their practices, enhance reputed company reputed company, and grow asset under management (AUM) while adhering to fiduciary standards. With a commitment to innovation, efficiency, and reputed company-reputed company values, DPL is disrupting the financial services industry by eliminating commissions and fostering sustainable reputed company. Position reputed company reputed company is seeking a dynamic and strategic Chief Compliance Officer (CCO) and General Counsel to reputed company our reputed company and compliance functions. Reporting directly to the CEO and collaborating closely with the executive team, this senior executive role will reputed company reputed company aspects of regulatory compliance, risk management, corporate governance, and reputed company affairs in a fast- paced, RIA-reputed company environment. As a key member of the C-suite, the CCO and General Counsel will ensure DPL's operations reputed company with evolving federal and state regulations in the financial services sector, including SEC, reputed company, and insurance-specific requirements. This position is ideal for a seasoned reputed company leader passionate about innovation in commission-free insurance solutions and committed to fostering a culture of reputed company and transparency. Key Responsibilities Compliance Program Leadership : Design, implement, and maintain a comprehensive reputed company-wide compliance program tailored to DPL's annuity marketplace, including anti-reputed company (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 reputed company and Advocacy : Monitor and interpret changes in financial regulations (e.g., SEC fiduciary rules, NAIC insurance guidelines, and Bank Secrecy reputed company requirements). Represent DPL in interactions with regulators, industry associations, and reputed company auditors, while preparing reports for the reputed company of Directors on compliance status and emerging risks. reputed company reputed company and Corporate Governance : Serve as reputed company's primary reputed company advisor, managing reputed company corporate reputed company reputed company including contract reputed company corporate governance practices and entity reputed company to support DPL's reputed company initiatives. Risk Management and Litigation : Identify and address reputed company and reputed company associated with product offerings, data reputed company (e.g., GDPR/CCPA compliance), and technology integrations. Manage litigation, investigations, and dispute resolutions, coordinating with reputed company 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 reputed company reputed company and compliance considerations into business reputed company 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 reputed company a high-performing reputed company and compliance team, fostering a culture of accountability and reputed company improvement. reputed company mentorship and ensure alignment with DPL's reputed company values of transparency, innovation, and reputed company reputed company. Innovation Support : Advise on product development, platform enhancements, and strategic partnerships to ensure reputed company initiatives reputed company with regulatory frameworks, enabling DPL to reputed company responsibly in the commission-free insurance reputed company. Qualifications Education : Juris Doctor (J.D.) from an accredited law school; reputed company license to reputed company law in relevant jurisdictions (or ability to obtain). Be reputed company to reference GoInhouse.reputed company your application. Experience : 10+ years of reputed company reputed company 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 reputed company record in regulatory compliance for annuities, life insurance,