Chief Compliance Officer - Aspen Standard Wealth
2 days ago
🏢 In-office - Manhattan
Description
• Design, establish, and lead Aspen’s compliance function • High-level strategic planning and hands-on execution • Work closely with executive team for regulatory compliance in RIA space • Develop processes to enhance efficiency and mitigate risk • Oversee compliance program and ensure implementation during acquisitions • Act as a liaison with regulatory bodies
Requirements
• Minimum of 6 years of experience in compliance roles within financial services • JD preferred • Experience in regulatory compliance, client protection, risk management, governance, financial compliance • Proven track record in establishing compliance management systems in RIA • Understanding of RIAs' legal processes including audit and compliance reporting • Conduct compliance due diligence for acquisitions • Ability to implement compliance programs for each acquisition • Preferred compliance certifications like CCEP • Strong communication skills and ability to work autonomously • Experience in managing teams on compliance best practices
Benefits
• Competitive compensation package • Robust benefits and professional growth opportunities
Apply Now
