DAP Brands Careers
Chief Compliance Officer
We don’t need a theoretical academic; we need a seasoned operator who has spent the last decade navigating the complex intersection of SaaS technology and Investment regulations (RIA). Reporting directly to the CEO, you will act as the bri...
About This Role
We don’t need a theoretical academic; we need a seasoned operator who has spent the last decade navigating the complex intersection of SaaS technology and Investment regulations (RIA). Reporting directly to the CEO, you will act as the bridge between our business goals and our external legal/tax partners. Your mission is to ensure our structures are sound and our risks are managed, ensuring that our growth remains unhindered.
What You'll Do
Design, implement, and maintain the firm’s compliance manual and code of ethics.
Ensure strict adherence to RIA and SEC regulations, including all filings (Form ADV, etc.).
Serve as the primary point of contact for regulators and lead the company through examinations.
Partner with product and engineering teams to identify regulatory red flags during the design phase.
Act as the primary client for external law firms and accounting partners, translating business needs into legal requests.
Provide oversight of legal entity structures to ensure tax efficiency and liability protection.
Manage the legal and compliance budget to ensure cost-effective use of outside consultants.
Collaborate with finance to ensure revenue recognition and reporting meet regulatory standards.
Oversee the internal controls environment to ensure data integrity and investor protection.
What We're Looking For
Minimum 10+ years of professional experience in Compliance, Operations, or Finance.
Specific track record working within an RIA (Registered Investment Advisor) or Fintech environment.
Proven experience scaling a company through high-growth phases.
Bachelor’s degree required (JD or CPA is a bonus, but operational experience is prioritized).
Deep understanding of how legal entities (LLCs, Corps, Partnerships) fit together.
Proven ability to manage expensive external legal/tax firms efficiently.
A commercial mindset that views compliance as a way to safely enable revenue.