Compliance Manager

Compliance Manager We’re hiring a Compliance Manager to help operationalize and scale our RIA compliance platform across partner firms. Location: Chicago or New York City with up to 20% travel. Responsibilities Own translation of Aspen’s compliance standards into defined workflows, controls, testing cycles, and escalation thresholds. Configure and optimize Hadrius (and related tools) as the system of record, ensuring requirements are enforced automatically and evidenced consistently. Design and maintain a standardized testing framework (what is tested, how often, what constitutes “pass,” and how remediation is tracked). Establish exception tracking and risk visibility dashboards for Aspen leadership. Eliminate shadow processes (manual trackers, email-based approvals, inconsistent evidence collection). Partner with the CCO on regulatory interpretation and escalated true gray areas; not responsible for day‑to‑day advisory support to firms. Experience and Functional Skills Required 5–8 years in RIA compliance, compliance operations, or compliance program implementation. Demonstrated experience designing or materially redesigning compliance workflows and testing programs. Experience implementing or significantly configuring compliance technology platforms (e.g., Hadrius, MCO, ACA Alpha, Greenboard). Direct experience supporting SEC exams with systemized evidence collection. Behaviors and Mindsets Required Accountability / Ownership Mindset – Takes full responsibility for outcomes, not just tasks; does what it takes to get to the result and owns the consequences. Systems Scaling & Building – Designs and implements operating mechanisms – processes, roles, decision rights, documentation, and interfaces that keep working as complexity, volume, and headcount grow. 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: Benefits Medical, Dental, and Vision Insurance Health Savings Account (HSA) with employer contributions 401(k) Plan with a 4% employer match Unlimited Paid Time Off (PTO) Life Insurance Coverage Aspen Standard Wealth is an equal‑opportunity employer and welcomes applicants from all backgrounds. #J-18808-Ljbffr Aspen Standard Wealth