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Chief Risk Compliance Officer Jobs in Kentucky (NOW HIRING)

Ceritypartners

Senior Associate Compliance

Bardstown, KY · On-site

$70K - $130K/yr

Lead or contribute to ad hoc compliance initiatives and projects as directed by the Chief Compliance Officer. Required Qualifications: * 3-7+ years of experience with Compliance or Risk Management ...

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Chief Risk Compliance Officer information

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$27.4K

$85.9K

$180.2K

How much do chief risk compliance officer jobs pay per year?

As of May 28, 2026, the average yearly pay for chief risk compliance officer in Kentucky is $85,940.00, according to ZipRecruiter salary data. Most workers in this role earn between $53,400.00 and $99,900.00 per year, depending on experience, location, and employer.

What are the key skills and qualifications needed to thrive as a Chief Risk Compliance Officer, and why are they important?

A Chief Risk Compliance Officer must possess deep expertise in risk management, regulatory compliance, and governance, typically supported by a degree in finance, law, or business and relevant certifications such as CRCM or CAMS. Proficiency in risk assessment tools, compliance management systems, and data analytics platforms is highly valuable. Strong leadership, strategic thinking, and effective communication are critical soft skills for guiding teams and influencing organizational culture. These skills ensure that the organization proactively manages risks, adheres to regulations, and maintains its reputation and operational integrity.

What are some common challenges faced by Chief Risk Compliance Officers when implementing new regulatory requirements across an organization?

Chief Risk Compliance Officers often encounter challenges such as ensuring consistent interpretation of complex regulations across departments, securing buy-in from senior leadership and staff, and managing tight deadlines imposed by regulatory bodies. They must also balance the need for compliance with operational efficiency, all while keeping up with frequent changes in laws and industry standards. Effective communication, cross-functional collaboration, and strong project management skills are essential to successfully navigate these challenges and maintain a robust risk management framework.

What does a Chief Risk Compliance Officer do?

A Chief Risk Compliance Officer (CRCO) is responsible for overseeing an organization’s risk management and compliance programs. This includes identifying potential risks, ensuring adherence to laws and regulations, and developing policies to mitigate risks. The CRCO collaborates with executive leadership to implement strategies that protect the company from legal, financial, and reputational harm. Their work helps ensure the organization operates ethically and within regulatory guidelines.

What is the difference between Chief Risk Compliance Officer vs Compliance Manager?

AspectChief Risk Compliance OfficerCompliance Manager
CredentialsCertifications like CRCM, CRM, or CIA; extensive experience in risk and complianceCertifications such as CCEP, CAMS; relevant compliance experience
Work EnvironmentStrategic leadership in senior management, overseeing risk and compliance programsOperational role, managing day-to-day compliance activities
Employer & Industry UsageFinancial institutions, large corporations, heavily regulated industriesFinancial services, healthcare, manufacturing, and other regulated sectors
Search & Comparison IntentUnderstanding senior risk and compliance roles, career progressionOperational compliance responsibilities, team management

The Chief Risk Compliance Officer focuses on strategic risk management and compliance oversight at an executive level, while the Compliance Manager handles daily compliance operations. Both roles require relevant certifications and are vital in regulated industries, but they differ in scope and seniority.

What are popular job titles related to Chief Risk Compliance Officer jobs in Kentucky? For Chief Risk Compliance Officer jobs in Kentucky, the most frequently searched job titles are:
What job categories do people searching Chief Risk Compliance Officer jobs in Kentucky look for? The top searched job categories for Chief Risk Compliance Officer jobs in Kentucky are:
What cities in Kentucky are hiring for Chief Risk Compliance Officer jobs? Cities in Kentucky with the most Chief Risk Compliance Officer job openings:
Chief Risk Compliance Officer jobs near you
Chief Compliance Officer and General Counsel

Chief Compliance Officer and General Counsel

DPL Financial Partners

Louisville, KY • On-site, Remote

Full-time

Medical, Dental, Vision, Retirement

Posted 4 days ago

Job description

Job Title: Chief Compliance Officer and General Counsel

Work Location: Remote/Onsite

Employment Type: Full Time

Reports to: CEO

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.

Key Responsibilities

  • 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.

Qualifications

  • 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 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.
  • Skills and Competencies:
    • 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 Certifications: Certified Anti-Money Laundering Specialist (CAMS), or equivalent compliance certifications.

What We Offer

  • Competitive compensation package, including base salary, performance-based incentives, and equity opportunities.
  • 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
  • A collaborative, innovative culture with direct impact on disrupting the financial services industry 
  • Access to industry- leading tools and partnerships that support work-life balance and career growth

DPL Financial Partners is an equal opportunity employer committed to diversity and inclusion. We encourage applications from all qualified candidates. To apply, please submit your resume and a cover letter outlining your vision for legal and compliance leadership.

Physical Demands and Working Conditions: While performing the duties of this Job, the employee will be required to sit or utilize standing desk while working on computer for long periods of time. The employee may occasionally lift and/or move up to 25 pounds. The noise level in the work environment is usually moderate. The physical demands described here are representative of those that must be met by an employee to successfully perform the essential functions of this job. The work environment is representative of what an employee encounters while performing essential job functions. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.

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