Compliance Manager

Aspen Standard Wealth • New York, NY

43d • Hybrid

About The Position

Aspen Standard Wealth is scaling rapidly through acquisition, and we’re hiring a Compliance Manager to help operationalize and scale our RIA compliance platform across partner firms. This role translates regulatory requirements and Aspen’s compliance standards into enforceable workflows, system logic, testing frameworks, and escalation protocols that scale across firms. The objective is to make compliance predictable, inspectable, and system-driven, reducing ambiguity, manual heroics, and advisory dependency. This role is based in Chicago or New York City, with up to 20% travel.

Requirements

• 5–8 years in RIA compliance, compliance operations, or compliance program implementation
• Demonstrated experience designing or materially redesigning compliance workflows and testing programs
• Experience implementing or significantly configuring compliance technology platforms (e.g., Hadrius, MCO, ACA Alpha, Greenboard)
• Direct experience supporting SEC exams with systemized evidence collection
• Accountability / Ownership Mindset - Takes full responsibility for outcomes, not just tasks—does what it takes to get to the result, and owns the consequences.
• Systems Scaling & Building - Designs and implements operating mechanisms—processes, roles, decision rights, documentation, and interfaces—that keep working as complexity, volume, and headcount grow.

Responsibilities

• Own translation of Aspen’s compliance standards into defined workflows, controls, testing cycles, and escalation thresholds
• Configure and optimize Hadrius (and related tools) as the system of record, ensuring requirements are enforced automatically and evidenced consistently
• Design and maintain a standardized testing framework (what is tested, how often, what constitutes “pass,” and how remediation is tracked)
• Establish exception tracking and risk visibility dashboards for Aspen leadership
• Eliminate shadow processes (manual trackers, email-based approvals, inconsistent evidence collection)
• Partner with the CCO on regulatory interpretation and escalate true gray areas; not responsible for day-to-day advisory support to firms

Benefits

• Medical, Dental, and Vision Insurance
• Health Savings Account (HSA) with employer contributions
• Commuter Benefits
• 401(k) Plan with a 4% employer match
• Unlimited Paid Time Off (PTO)
• Life Insurance Coverage

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level
• Education Level: No Education Listed