Compliance Manager at Aspen Standard Wealth

New York, New York, United States -

Full Time

Start Date

Immediate

Expiry Date

24 Mar, 26

Salary

0.0

Posted On

24 Dec, 25

Experience

5 year(s) or above

Remote Job

Yes

Telecommute

Yes

Sponsor Visa

Skills

Compliance, Due Diligence, Risk Assessment, Policy Development, SEC Examinations, Analytical Skills, Team Management, Relationship Management

Industry

Investment Management

Description

About Aspen Standard Wealth Aspen Standard Wealth is building the next great national RIA platform by combining the resources of a large firm with the independence and culture of the boutique RIAs we partner with. Backed by Alpine Investors, Aspen provides permanent capital and strategic support to top wealth management firms across the country, helping them scale without sacrificing what makes them great. Founded in 2024, Aspen is one of the fastest-growing companies in the industry, with a bold mission to become a $100B+ AUM platform in the next five years. We take a people-first approach by investing in talent, empowering local leaders, and building a culture of exceptional execution, trust, and integrity. Join us at the ground level and help shape the future of wealth management. About Alpine Investors Alpine Investors is a people-driven private equity firm that is committed to building great companies by working with, learning from, and developing exceptional people. Alpine prides itself on fostering cultures where people value empowerment, diversity, fairness, integrity, and intellectual honesty. Founded in 2001, Alpine specializes in investments in companies in the software and services industries. Alpine has over $17 billion in AUM and has offices in San Francisco, New York, and Salt Lake City. About the Job 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. Responsibilities Below are the core areas of work for this role. Over time, it may change, but this should give you a good idea of what to expect: 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. Experiences and Functional Skills Required 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. Behaviors and Mindsets Required Execution & Accountability – "Player-Coach" Team & Relationship Management – "Connector & Collaborator" Analytical Rigor – "Structured Risk-Adjusted Thinker" Aspen Benefits Aspen Standard Wealth offers a comprehensive benefits package designed to support employee health, financial security, and overall well-being. Full-time employees in this role are eligible for: 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 These benefits are intended to provide meaningful support across health, financial planning, and work-life flexibility. Aspen Standard Wealth is an equal-opportunity employer and welcomes applicants from all backgrounds.

Responsibilities

The Compliance Manager will conduct due diligence on compliance programs, lead annual compliance reviews, and support RIAs during SEC examinations. They will also develop and implement firm policies and procedures in line with regulatory requirements.