Company: Aspen Standard Wealth (Newly Formed, PE-Backed RIA Aggregator)
Role: Chief Compliance Officer (reporting to CEO)
Location: Chicago or New York City

Mission:
To build and lead a comprehensive compliance function that aligns with Aspen's strategic goals, ensuring regulatory adherence, managing risk, and fostering a culture of integrity across the organization. The Chief Compliance Officer (CCO) will be pivotal in establishing and maintaining the compliance infrastructure necessary to support Aspen's high-paced growth and M&A aggregation strategy.

Job Description:
We’re seeking a Chief Compliance Officer to design, establish, and lead Aspen’s compliance function. This role involves both high-level strategic planning and hands-on execution, requiring a candidate who is comfortable rolling up their sleeves and handling tasks at all levels. The CCO will work closely with the executive team to ensure compliance with all relevant regulations, in the RIA space, while also developing processes that enhance efficiency and mitigate risk. They will be responsible for overseeing the overall compliance program for Aspen, as well as ensuring implementation at each acquisition. The ideal candidate will be commercially minded, understanding the broader business implications of compliance decisions, and will be capable of acting as a liaison with regulatory bodies.

Role Requirements:

• A minimum of 6 years of experience in compliance roles within the financial services industry, with a strong preference for RIA experience.
• JD preferred
• Experience in regulatory compliance (SEC and State), client protection (KYC, AML, privacy, and data protection), risk management, corporate governance, and financial compliance.
• Proven track record of standing up compliance management systems in an RIA environment.
• Deep understanding of the legal processes related to RIAs, including audit requirements, custody rules, trading practices, disclosures, and compliance reporting.
• Conduct compliance due diligence for each acquisition and implement improvements post-acquisition
• Ability to stand up an overall compliance program and implement for each acquisition
• Compliance certifications such as Certified Compliance and Ethics Professional (CCEP) or similar are preferred.
• Strong communication skills and the ability to work autonomously with limited oversight.
• Experience in managing and educating teams on compliance best practices.

Person Requirements:

• Demonstrates unquestionable integrity and a commitment to fostering a strong workplace culture.
• Proactive and results-oriented, with a ‘do whatever it takes’ attitude.
• Capable of working in a fast-paced environment, with experience in PE-backed businesses or similar contexts.
• Excellent trainer and educator, with a focus on continuous improvement in the compliance function.
• Collaborative and able to build rapport both internally and externally.
• Cost-conscious and thoughtful about when to engage external partners.
• Growth-minded, caring, and service-oriented, with a clear alignment with Aspen’s values.