Aspen Standard Wealth
Overview
We are seeking a Compliance Manager with 5+ years of compliance experience in the registered investment adviser / wealth management industry. The Compliance Manager will play a critical role in building, scaling and delivering centralized compliance services across Aspens growing portfolio of RIAs. The ideal candidate has hands-on experience building RIA compliance programs and playbooks and demonstrates both technical expertise and strong relationship building and organizational skills. This role offers the opportunity to work closely with Aspens General Counsel, platform RIA CCOs, and leadership teams to build, execute, and enhance compliance programs that support multiple advisory businesses. About Aspen Standard Wealth
Aspen Standard Wealth, LLC (www.aspenstandardwealth.com) is a holding company that acquires and operates U.S. SEC-registered investment advisers (RIAs). We provide our firms with centralized legal, compliance, and operational services so they can focus on serving clients. Our centralized compliance team partners closely with the Chief Compliance Officers (CCOs) of each affiliated RIA to deliver a best-in-class compliance framework designed for scalability and regulatory excellence. Responsibilities Program-building:
Architect and enhance centralized compliance programs, in addition to executing reviews. Scaling across OpCos RIAs:
Harmonize compliance across multiple firms and lead adoption of new frameworks to create efficiencies and reduce risk. Entrepreneurial DNA:
Thrive in a dynamic environment and create structure where none exists, ideally with experience using compliance management software providers like Hadrius, ACA, or Comply.
Technical Knowledge & Capabilities
Marketing Rule Compliance:
Conduct thorough reviews of advertisements, pitch decks, websites, newsletters, and social media under the SECs Marketing Rule (Rule 206(4)-1). Testing Programs:
Develop and implement compliance testing programs to monitor adherence with SEC rules, firm policies, and industry best practices. Due Diligence, Gap Analysis & Remediation:
Conduct compliance program due diligence (post LOI) and gap analyses for newly acquired RIAs; implement remediation plans to align with Aspens 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:
Draft, update, and implement firm policies and procedures in line with evolving regulatory requirements and business practices. Training & Education:
Deliver training to advisers and staff on compliance policies, regulatory updates, and industry developments. Own Compliance KPIs and Reporting:
Enhance existing compliance program KPIs and provide ongoing oversight and reporting.
Qualifications
Experience:
5+ years of compliance experience in the registered investment adviser industry, compliance consulting firms, or a combination thereof. Expertise:
Strong knowledge of the Investment Advisers Act of 1940, with direct experience the above referenced capabilities. Skills: Exceptional organizational and prioritization skills; able to manage multiple compliance programs simultaneously. Strong written and verbal communication skills, with the ability to explain complex regulatory requirements clearly. Analytical mindset with attention to detail and problem-solving ability. Relationship-builder with the ability to partner effectively across multiple RIAs. Education:
Bachelors degree required; compliance certification, such as the IACCP, preferred but not required.
What We Offer
The opportunity to shape and scale compliance programs across a dynamic and growing RIA platform. A collaborative, entrepreneurial environment that values proactive problem-solvers. Competitive compensation and benefits package. Exposure to senior leadership and a chance to make a meaningful impact on compliance culture across multiple advisory firms.
Details
Seniority level:
Associate Employment type:
Full-time Job function:
Accounting/Auditing, Consulting, and Management Industries:
Investment Management and Financial Services
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We are seeking a Compliance Manager with 5+ years of compliance experience in the registered investment adviser / wealth management industry. The Compliance Manager will play a critical role in building, scaling and delivering centralized compliance services across Aspens growing portfolio of RIAs. The ideal candidate has hands-on experience building RIA compliance programs and playbooks and demonstrates both technical expertise and strong relationship building and organizational skills. This role offers the opportunity to work closely with Aspens General Counsel, platform RIA CCOs, and leadership teams to build, execute, and enhance compliance programs that support multiple advisory businesses. About Aspen Standard Wealth
Aspen Standard Wealth, LLC (www.aspenstandardwealth.com) is a holding company that acquires and operates U.S. SEC-registered investment advisers (RIAs). We provide our firms with centralized legal, compliance, and operational services so they can focus on serving clients. Our centralized compliance team partners closely with the Chief Compliance Officers (CCOs) of each affiliated RIA to deliver a best-in-class compliance framework designed for scalability and regulatory excellence. Responsibilities Program-building:
Architect and enhance centralized compliance programs, in addition to executing reviews. Scaling across OpCos RIAs:
Harmonize compliance across multiple firms and lead adoption of new frameworks to create efficiencies and reduce risk. Entrepreneurial DNA:
Thrive in a dynamic environment and create structure where none exists, ideally with experience using compliance management software providers like Hadrius, ACA, or Comply.
Technical Knowledge & Capabilities
Marketing Rule Compliance:
Conduct thorough reviews of advertisements, pitch decks, websites, newsletters, and social media under the SECs Marketing Rule (Rule 206(4)-1). Testing Programs:
Develop and implement compliance testing programs to monitor adherence with SEC rules, firm policies, and industry best practices. Due Diligence, Gap Analysis & Remediation:
Conduct compliance program due diligence (post LOI) and gap analyses for newly acquired RIAs; implement remediation plans to align with Aspens 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:
Draft, update, and implement firm policies and procedures in line with evolving regulatory requirements and business practices. Training & Education:
Deliver training to advisers and staff on compliance policies, regulatory updates, and industry developments. Own Compliance KPIs and Reporting:
Enhance existing compliance program KPIs and provide ongoing oversight and reporting.
Qualifications
Experience:
5+ years of compliance experience in the registered investment adviser industry, compliance consulting firms, or a combination thereof. Expertise:
Strong knowledge of the Investment Advisers Act of 1940, with direct experience the above referenced capabilities. Skills: Exceptional organizational and prioritization skills; able to manage multiple compliance programs simultaneously. Strong written and verbal communication skills, with the ability to explain complex regulatory requirements clearly. Analytical mindset with attention to detail and problem-solving ability. Relationship-builder with the ability to partner effectively across multiple RIAs. Education:
Bachelors degree required; compliance certification, such as the IACCP, preferred but not required.
What We Offer
The opportunity to shape and scale compliance programs across a dynamic and growing RIA platform. A collaborative, entrepreneurial environment that values proactive problem-solvers. Competitive compensation and benefits package. Exposure to senior leadership and a chance to make a meaningful impact on compliance culture across multiple advisory firms.
Details
Seniority level:
Associate Employment type:
Full-time Job function:
Accounting/Auditing, Consulting, and Management Industries:
Investment Management and Financial Services
#J-18808-Ljbffr