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Chief Compliance Officer

2 months ago

Chicago, Illinois, United States Aspen Standard Wealth Full time
Job Summary

We 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 Responsibilities
  • Compliance Program Development: Design and implement a comprehensive compliance program that ensures adherence to regulatory requirements and industry standards.
  • Regulatory Compliance: Ensure compliance with SEC and state regulations, as well as client protection laws, risk management, corporate governance, and financial compliance.
  • Acquisition Due Diligence: Conduct thorough compliance due diligence for each acquisition and implement improvements post-acquisition.
  • Team Management: Lead and educate teams on compliance best practices, ensuring a culture of compliance throughout the organization.
  • Stakeholder Engagement: Collaborate with the executive team, regulatory bodies, and external partners to ensure effective compliance and risk management.
Requirements
  • Experience: Minimum 6 years of experience in compliance roles within the financial services industry, with a strong preference for RIA experience.
  • Education: JD preferred.
  • Certifications: Compliance certifications such as Certified Compliance and Ethics Professional (CCEP) or similar are preferred.
  • Skills: Strong communication skills, ability to work autonomously, and experience in managing and educating teams on compliance best practices.
Person Requirements
  • Integrity: Demonstrates unquestionable integrity and a commitment to fostering a strong workplace culture.
  • Proactivity: Proactive and results-oriented, with a 'do whatever it takes' attitude.
  • Collaboration: Collaborative and able to build rapport both internally and externally.
  • Cost-Consciousness: Cost-conscious and thoughtful about when to engage external partners.
  • Growth Mindset: Growth-minded, caring, and service-oriented, with a clear alignment with Aspen Standard Wealth's values.