Compliance Manager, Finance & Banking

Compliance Manager – Aspen Standard Wealth

Join the growth of Aspen Standard Wealth, a rapidly expanding RIA platform backed by Alpine Investors.
As a Compliance Manager, you will work closely with our compliance team, platform RIA Chief Compliance Officers, and leadership teams to build, execute, and enhance compliance programs supporting our advisory businesses.

Base pay: $ – $ per year

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 boutique RIAs we partner with. Founded in 2024, we aim to become a $100B+ AUM platform in five years. We take a people‑first approach, investing in talent, empowering local leaders, and building a culture of execution, trust, and integrity.

This role is based in Chicago or New York City.

• Due diligence, gap analysis, and 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.
• Annual reviews and 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.
• Compliance KPIs and reporting:
  Assist in compliance program KPIs and provide ongoing oversight and reporting for areas of concentration.

• 5+ years of combined experience at a compliance consultancy and at a 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 managing testing programs.

• Execution & Accountability – Player‑Coach
• Team & Relationship Management – Connector & Collaborator
• Analytical Rigor – Structured Risk‑Adjusted Thinker

• 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 designed to support employee health, financial security, and overall well‑being.

Mid‑Senior Level

Full‑time

Legal

Investment Management

Aspen Standard Wealth is an equal‑opportunity employer and welcomes applicants from all backgrounds.