Careers

Current Openings:

Managing Director of Compliance

Rise Growth Partners is seeking a highly experienced and strategic Managing Director of Compliance to lead our compliance function. This role is critical in ensuring that the company adheres to regulatory requirements and maintains high ethical standards. The Managing Director of Compliance will work closely with senior management and various departments to develop and implement compliance policies and procedures.

Key Responsibilities:

  1. Leadership and Strategy:
    • Lead the compliance department, providing strategic direction and oversight.
    • Develop, implement, and maintain the company’s compliance program.
    • Advise senior management on compliance-related matters and emerging regulatory trends.
  1. Regulatory Compliance:
    • Ensure the company’s adherence to all relevant laws, regulations, and industry standards.
    • Monitor changes in regulatory requirements and adjust the compliance program accordingly.
    • Liaise with regulatory bodies and ensure timely and accurate reporting.
  1. Policy Development and Implementation:
    • Develop and update compliance policies and procedures.
    • Ensure that all employees are aware of and understand compliance policies.
    • Conduct regular compliance training programs for staff at all levels.
  1. Risk Management:
    • Identify potential areas of compliance vulnerability and risk.
    • Develop and implement corrective action plans to resolve compliance issues.
    • Conduct regular risk assessments and audits to ensure compliance.
  1. Investigation and Reporting:
    • Oversee internal investigations of compliance violations.
    • Report findings to senior management and regulatory authorities as required.
    • Maintain records of compliance activities, including complaints received and investigations conducted.
  1. Team Management:
    • Manage and mentor the compliance team, fostering a culture of compliance and ethical behaviour.
    • Conduct performance evaluations and provide professional development opportunities for compliance staff.

Qualifications:

  • Bachelor’s degree in law, finance, business, or a related field. Advanced degree preferred.
  • Minimum of 10 years of experience in compliance, risk management, or a related field, with at least 5 years in a senior leadership role.
  • Extensive knowledge of regulatory requirements and compliance best practices.
  • Strong analytical, problem-solving, and decision-making skills.
  • Excellent communication and interpersonal skills, with the ability to work effectively with senior management and regulatory bodies.
  • Proven track record of developing and implementing successful compliance programs.
  • Experience in the financial services industry is highly preferred.

Why Join Rise Growth Partners:

  • Innovative Environment: Work in a dynamic and forward-thinking company that values innovation and excellence.
  • Career Development: Opportunities for professional growth and career advancement.
  • Impactful Work: Play a key role in shaping the compliance culture and ensuring the integrity of the company.
  • Collaborative Culture: Join a supportive and collaborative team committed to achieving shared goals.

Application Process: Interested candidates are invited to submit their resume and cover letter outlining their qualifications and experience to.

Managing Director – Head of Mergers and Acquisitions (M&A)

As the Head of M&A at Rise Growth Partners, you will lead the company’s M&A initiatives, focusing on identifying, evaluating, and executing investment opportunities within the Registered Investment Advisor sector. This role requires a strategic thinker with a deep understanding of the financial services industry, strong negotiation skills, and the ability to collaborate with internal and external stakeholders. 

The focus will initially be on executing primary investments in the cornerstone platform firms that will be the core of the Rise minority stake investment strategy. Once these investments are made, the role will shift to helping these anchor firms build out an institutionalized Inorganic Growth vertical within their business that allows them to handle the volume and velocity necessary for Rise to achieve its investment objectives. 

Responsibilities Include

Strategic Planning:

  • Work closely with the executive team to develop and refine the company’s M&A strategy in alignment with overall business objectives
  • Provide insights and recommendations on potential market trends, competitive landscape, and growth opportunities

Relationship Management:

  • Cultivate and maintain relationships with key industry stakeholders, including RIAs, investment banks, legal advisors, and other relevant parties
  • Represent the company in negotiations and discussions with potential acquisition targets

Team Leadership:

  • Build and lead a high-performing M&A team, providing mentorship and guidance to team members
  • Foster a collaborative and innovative culture within the M&A department

Discovery Calls:

  • First person to have meaningful conversations with target firms once they have been identified
  • Responsible for “pitching” Rise story and value proposition as well as initial opportunity evaluation 
  • Must have expert knowledge of Rise value proposition and RIA M&A environment
  • Must have ability to influence and direct conversations with RIA owners who will often need some education on the market, value proposition and goal of a Rise partnership

Opportunity Assessment:

  • Serve as point person for the transaction and opportunity assessment 
  • Execute and deliver Rise’s  “Enterprise Readiness Assessment” with 1-2 other team members
  • Develop opportunity narrative for cornerstone investments and champion that opportunity and outcome to the owner, or execute the pivot and align the firm with one of Rise’s cornerstone investments
  • Present to the internal Investment Committee and work with Operating Partners on the strategy for executing the deal

Deal Development:

  • Lead and coordinate the end-to-end deal execution process, including negotiations, structuring, and closing transactions
  • Gather information from the RIA and to evaluate the opportunity, conducting thorough due diligence, including financial analysis, market research, and risk assessment, to inform investment decisions
  • Collaborate with legal, financial, and operational teams to ensure the Rise Investment Committee and Sponsor firm receive sufficient information to make informed decisions
  • Coordinate and present an Investment Thesis, including financial modeling, qualitative and quantitative analysis of qualified opportunities
  • Critically analyze opportunities both internally and with Rise sponsor firm
  • Build strong relationships with RIA owners so that we are competitive (critical)
  • Work closely with bankers/brokers as necessary to facilitate and execute transactions
  • Work with Operating Partners and Legal on terms, LOIs and purchase documents to ensure proper communication of the Rise relationship
  • Manage expectations around “what we do” and “what they do” given we are minority stakeholders

Buildout of Inorganic Growth Strategy for Anchor Firms

  • Build playbooks for anchor firms that are thorough and effective in helping the senior leadership in the RIA anchor firms quickly and effectively recruit and build out an inorganic growth team
  • Manage inorganic growth pipeline for anchor firms ensuring they are able to handle the volume and velocity necessary to affect the Rise investment objectives
  • Maintain excellent relationships with the Anchor Firm leadership ensuring the Rise brand and value proposition are represented with a standard of excellence

Qualifications

  • Bachelor’s degree in finance, business, or a related field; MBA or CFA preferred
  • Extensive experience (10+ years) in M&A within the financial services sector, with a focus on RIAs
  • Proven track record of successfully leading and closing complex M&A transactions
  • Strong financial modeling and analytical skills
  • Excellent negotiation and communication abilities
  • Strategic thinker with a deep understanding of the financial services industry

Rise Growth Partners is very excited to hear from you about our current open positions. Please fill out our contact form and will reach out to you very shortly.

Address
111 Congress Avenue, Suite 500
Austin TX 78704