Compliance Manager

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 scaling rapidly through acquisition, and we’re hiring a Compliance Manager to help operationalize and scale our RIA compliance platform across partner firms. This role translates regulatory requirements and Aspen’s compliance standards into enforceable workflows, system logic, testing frameworks, and escalation protocols that scale across firms. The objective is to make compliance predictable, inspectable, and system-driven, reducing ambiguity, manual heroics, and advisory dependency. This role is based in Chicago or New York City , with up to 20% travel . 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: 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 elevate true gray areas; not responsible for day-to-day advisory support to firms Experiences 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 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. #J-18808-Ljbffr Aspen Standard Wealth