Compliance Manager

Aspen Standard Wealth•New York, NY

About The Position

Aspen Standard Wealth is growing rapidly through acquisition and we're hiring a Compliance Manager. This individual will work closely with Aspen’s compliance team (GC&CCO, Compliance Manager and Compliance Analyst), platform RIA CCOs, and leadership teams to build, execute, and enhance compliance programs that support Aspen’s RIA platform advisory businesses. This role is based in Chicago or NYC.

Requirements

5+ years in combined experience at a compliance consultancy and at registered investment adviser
Familiarity with comprehensive wealth management business models
Demonstrated success supporting or leading SEC Exams and annual 206(4)-7 reviews
Experience developing and administering RIA testing programs, CoE and developing and administering/managing testing programs.
Execution & Accountability – "Player-Coach"
Team & Relationship Management – "Connector & Collaborator"
Analytical Rigor – "Structured Risk-Adjusted Thinker"

Responsibilities

Due Diligence, Gap Analysis & Remediation: Conduct seller compliance program due diligence (post LOI); work with ACA Global on gap analyses for newly acquired RIAs and assist in implementing recommended remediation plans to align with Aspen’s centralized compliance framework.
Annual Reviews & Risk Assessments: Lead annual compliance reviews (under Rule 206(4)-7) and ongoing risk assessments, identifying key compliance risks and recommending enhancements.
SEC Examinations: Support affiliated RIAs through SEC examinations, including document gathering, response preparation, and remediation of exam findings.
Policy Development: Leverage expertise in helping to draft, update, and implement firm policies and procedures in line with evolving regulatory requirements and business practices.
Compliance KPIs and Reporting: Assist in compliance program KPIs and provide ongoing oversight and reporting for areas of concentration.