Chief Compliance Officer and General Counsel

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 DPL's 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.

• Compliance Program Leadership:
  Design, implement, and maintain a comprehensive enterprise-wide compliance program tailored to DPL's 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 company's primary legal advisor, managing all corporate legal matters including contract Oversee corporate governance practices and entity formations to support DPL's 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 DPL's 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.

• 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…