DPL Financial Partners · 21 hours ago
Chief Compliance Officer and General Counsel
Louisville,KY,US
Full-time
Hybrid
Director/Executive
10+ years expDPL Financial Partners is a leader in the commission-free annuity marketplace, dedicated to providing transparent, low-cost insurance solutions. They are seeking a Chief Compliance Officer and General Counsel to oversee regulatory compliance, risk management, corporate governance, and legal affairs in a fast-paced environment. This role requires strategic leadership to ensure alignment with federal and state regulations in the financial services sector.
Insurance
Responsibilities
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
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
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
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
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
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
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
Qualification
Required
Juris Doctor (J.D.) from an accredited law school; active license to practice law in relevant jurisdictions (or ability to obtain)
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
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
Certified Anti-Money Laundering Specialist (CAMS), or equivalent compliance certifications
Benefits
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
Access to industry- leading tools and partnerships that support work-life balance and career growth
Company
DPL Financial Partners
DPL Financial Partners is an RIA insurance network that brings low-cost, commission-free insurance solutions.
51-200 employees
Funding
Current Stage
Growth StageTotal Funding
$84MKey Investors
Eos Venture Partners
2024-12-03Series C· $23M
2022-08-31Private Equity· $20M
2021-01-13Private Equity· $26M
Leadership Team
David Lau
CEO & Founder
John Barkeley
Chief Financial Officer
Recent News
2025-12-16
Business Wire
2025-12-03
2025-10-21
Company data provided by crunchbase