Chief Compliance Officer

2 weeks ago


Chicago, United States Aspen Standard Wealth Full time

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.



  • Chicago, United States Atticus Recruiting Inc Full time

    EXCLUSIVE — Our client, a leading, public, technology manufacturing company with 7,000 employees and sales, engineering and manufacturing locations in North America, Europe, Middle East, and Asia, seeks a Chief Compliance Officer in its Chicago headquarters. Reporting directly to the General Counsel, the Chief Compliance Officer will develop, implement,...


  • Chicago, Illinois, United States Chief Financial Officer – Rockit Ranch Productions Full time

    Chief Financial Officer – Rockit Ranch ProductionsThe CFO plays a crucial role in shaping a brand's financial strategy, optimizing operational efficiency, and maximizing profitability across all restaurant locations.Key responsibilities:Develop and execute the overall financial strategy in alignment with the company's goals and objectives. Provide...


  • Chicago, United States Oxford Financial Group, Ltd. Full time

    Position Summary: The Chief Compliance Officer (“CCO”) is ultimately responsible for the compliance functions of the RIA, Oxford Financial Group, LLC (“Oxford”) and the commodity pool operator. This role is key to ensuring Oxford complies with SEC regulatory rules and to lead the compliance team in its activities. The CCO is responsible for the...


  • Chicago, Illinois, United States Office of the Chief Judge Adult Probation Department-Cook County Full time

    Job OverviewOffice of the Chief Judge,Adult Probation DepartmentPOSITION TITLE: CHIEF HUMAN RESOURCES OFFICERDIVISION: ADMINISTRATIONGRADE: 22 – NON-UNIONREPORTS TO: CHIEF PROBATION OFFICERKEY RESPONSIBILITIES:The Chief Human Resources Officer, in collaboration with the Chief Probation Officer and the Human Resources Administrator, is tasked with managing...


  • Chicago, Illinois, United States Oxford Financial Group, Ltd. Full time

    Job SummaryOxford Financial Group, Ltd. is seeking a highly skilled and experienced Chief Compliance Officer to lead our compliance program and ensure adherence to regulatory requirements.Key ResponsibilitiesDevelop and oversee the compliance program, including annual risk assessments and compliance reportsOversee the correction of compliance matters,...


  • Chicago, Illinois, United States Aspen Standard Wealth Full time

    Job SummaryWe are seeking a seasoned Chief Compliance Officer to lead our compliance function at Aspen Standard Wealth. This role requires a strategic thinker with hands-on execution skills, who can design, establish, and implement a robust compliance program.Key ResponsibilitiesCompliance Program Development: Design and implement a comprehensive compliance...


  • Chicago, United States SS&C Technologies Full time

    SS&C is a global provider of investment and financial services and software for the financial services and healthcare industries. Named to Fortune 1000 list as top U.S. company based on revenue, SS&C is headquartered in Windsor, Connecticut and has 20,000+ employees in over 90 offices in 35 countries. Some 18,000 financial services and healthcare...


  • Chicago, Illinois, United States SS&C Full time

    Job SummarySS&C is a leading provider of investment and financial services and software for the financial services and healthcare industries. As a Chief Compliance Officer - Fund Specialist, you will play a critical role in ensuring the compliance of our investment company clients with regulatory requirements.Key ResponsibilitiesOversee the maintenance of...


  • Chicago, Illinois, United States StoneX Group Inc. Full time

    About the RoleStoneX Group Inc. is seeking a highly experienced Chief Compliance Officer to lead our swap dealer compliance program. As a key member of our team, you will be responsible for ensuring the effectiveness of our compliance framework and ensuring that we meet all regulatory obligations.Key ResponsibilitiesLead the oversight of the swap dealer...

  • Chief Dental Officer

    3 months ago


    Chicago, United States Elite Dental Partners Full time

    Job DescriptionJob DescriptionThe Chief Dental Officer is a key member of the Executive Leadership Team. The Chief Dental Officer leads and mentors the Clinical Team. The Chief Dental Officer's work will advance best clinical outcomes, enhance the doctor and patient experience, and ensure compliance with applicable regulations. The Chief Dental...

  • General Counsel

    1 week ago


    Chicago, United States Belvedere Trading, LLC Full time

    Belvedere Trading is a global proprietary trading firm proudly headquartered in downtown Chicago. Our traders work hard to provide liquidity to the market through their market-making activities and are the masters of a diverse set of commodities, interest rates, exchange-traded funds (ETF), equity index, equities, and equities options. From the beginning, we...

  • Chief Legal Officer

    5 days ago


    Chicago, Illinois, United States Chicago Housing Authority Full time

    Job SummaryWe are seeking a highly experienced and skilled Chief Legal Officer to join our team at the Chicago Housing Authority. As the chief legal officer, you will be responsible for providing strategic legal counsel to the CEO, senior management, and the CHA Board of Commissioners on all matters related to the organization's operations, including real...

  • Chief Legal Officer

    2 weeks ago


    Chicago, Illinois, United States Chicago Housing Authority Full time

    Position OverviewThe Chicago Housing Authority (CHA) is seeking a dedicated and experienced Chief Legal Officer to lead its legal department. This role encompasses the overall legal and risk management strategy for the organization, ensuring compliance and providing strategic guidance on various legal matters.Key ResponsibilitiesAct as the principal legal...

  • Chief Audit Officer

    1 week ago


    Chicago, Illinois, United States Inspectorsgeneral Full time

    Position Title: Chief Audit OfficerJob Level: 1551______________________________________________________________________Overview:Under the supervision of the Inspector General, the Chief Audit Officer is responsible for providing strategic direction and oversight for the Audit Department. This role ensures compliance with relevant auditing standards,...

  • Chief Legal Officer

    2 weeks ago


    Chicago, Illinois, United States Chicago Housing Authority Full time

    Position OverviewThe Chicago Housing Authority (CHA) seeks a dedicated professional to fulfill the role of Chief Legal Officer. This position is integral to the organization, responsible for establishing and implementing the legal and risk management framework of the Authority.Key ResponsibilitiesAct as the principal legal representative for CHA, ensuring...

  • Chief Legal Officer

    2 weeks ago


    Chicago, Illinois, United States Chicago Housing Authority Full time

    Position OverviewThe Chicago Housing Authority (CHA) is seeking a seasoned legal professional to act as the Chief Legal Officer. This role encompasses the primary responsibility for the comprehensive legal and risk management strategy of the organization.Key ResponsibilitiesServe as the principal legal representative for CHA, overseeing all legal and...

  • Chief Data Officer

    2 months ago


    Chicago, United States Sancus International Full time

    Job Title: Chief Data Officer (CDO)Location: Chicago, ILCompany: Leading Retail businessEmployment Type: Full-TimeTotal Compensation: 350-500k US Dollars Per yearCompany:Sancus International are currently working with a leading fashion retailer specializing in contemporary apparel and accessories. They are dedicated to providing their customers with...

  • Chief Data Officer

    2 months ago


    Chicago, United States Sancus International Full time

    Job Title: Chief Data Officer (CDO)Location: Chicago, ILCompany: Leading Retail businessEmployment Type: Full-TimeTotal Compensation: 350-500k US Dollars Per yearCompany:Sancus International are currently working with a leading fashion retailer specializing in contemporary apparel and accessories. They are dedicated to providing their customers with...

  • Chief Medical Officer

    3 months ago


    Chicago, United States TAPESTRY 360 HEALTH Full time

    Job DescriptionJob DescriptionHEARTLAND HEALTH CENTERS is now TAPESTRY 360 HEALTH! Chief Medical Officer Tapestry 360 Health (formerly known as Heartland Health Centers) is looking for a Chief Medical Officer who is passionate about providing high quality healthcare in the North Side communities we serve. Tap 360 is a great organization to build or cement...


  • Chicago, United States ACG Cares Full time

    Job Title: Chief Financial Officer Reports to: Head of School The Exceptional Opportunity Wolcott College Preparatory High School in Chicago, Illinois seeks an inspiring Chief Financial Officer to join our team. The Chief Financial Officer reports directly to the Head of School and is an integral member of the senior administrative leadership team. ...