New York, New York, United States · On-site
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…
Skills: RIA Compliance, Compliance Operations, Workflow Design, Testing Frameworks, Regulatory Interpretation
New York, New York, United States · On-site
$109k–$174k/yr
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New York, New York, United States · Hybrid
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Via is using technology to transform transportation around the world. From changing a single person’s daily commute to reducing humanity’s collective environmental footprint — we’ve got huge goals. As a Proposal Enableme…
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New York, New York, United States · On-site
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New York, New York, United States · On-site
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Skills: Case Management, Customer Service, Data Entry, Database Maintenance, Settlement Processing
New York, New York, United States · On-site
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Job Description ABOUT THE CAMPAIGN FINANCE BOARD The Campaign Finance Board is a nonpartisan, independent city agency that empowers New Yorkers to have a greater impact on their elections. Our mission is to make local de…
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New York, New York, United States · On-site
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New York, New York, United States · On-site
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New York, New York, United States · On-site
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Job Description The NYC Department of Probation (DOP) is a world leader in working creatively and effectively with people under court-mandated community supervision. Through innovative partnerships with people and organi…
Skills: Administrative Support, Scheduling, Data Entry, Training Delivery, Compliance Tracking
New York, New York, United States · Hybrid
$88k–$188k/yr
Job Description Job Description The New York City Law Department is seeking applicants for the position of Assistant Corporation Counsel in its Tort Division. The Tort Division’s Early Intervention Unit (EIU) is seeking …
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New York, New York, United States · On-site
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Job Description The New York County District Attorney's Office (DANY) has an opening for a Victim Services Advocate in its Survivor Services Bureau (SSB). In this position the Victim Services Advocate will provide a full…
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New York, New York, United States · Hybrid
$88k–$188k/yr
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New York, New York, United States · On-site
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Skills: Records Management, Customer Service, Data Entry, Microsoft Office, Organization
New York, New York, United States · On-site
$62k–$90k/yr
Job Description The New York City Department of Transportation (DOT) provides for the safe, efficient, and environmentally responsible movement of people and goods in the City of New York and maintains and enhances the t…
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New York, New York, United States · On-site
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We are seeking experienced Contract Negotiation attorneys specializing in the healthcare industry and with experience advising hospitals, large healthcare systems or large physician groups. This role involves overseeing …
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New York, New York, United States · On-site
Job Description - Provide Trauma-informed crisis intervention and criminal justice advocacy to victim of human trafficking and other victims of crime. - In collaboration with agency staff, assess the urgency of victim's …
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New York, New York, United States · Hybrid
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New York, New York, United States · Hybrid
$59k–$68k/yr
Job Description ONLY PERMANENT EMPLOYEES IN THE TITLE AND THOSE THAT ARE REACHABLE ON THE ASSOCIATE INVESTIGATOR CIVIL SERVICE LIST ARE ELIGIBLE TO APPLY. Division/Program Summary: The Bureau of Childcare ensures that ch…
Skills: Investigation, Surveillance, Interviewing, Case Building, Regulatory Compliance
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The Compliance Manager will operationalize and scale the RIA compliance platform by translating regulatory requirements into enforceable workflows and system logic. They will manage the compliance system of record and design standardized testing frameworks to reduce manual processes.
Candidates need 5-8 years of experience in RIA compliance or operations with a proven track record of designing compliance workflows. Proficiency in compliance technology platforms like Hadrius, MCO, or ACA Alpha is required.
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.
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.
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.
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 escalate true gray areas; not responsible for day-to-day advisory support to firms
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
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:
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.
Helping RIAs unlock the next chapter of growth
We built Aspen for RIA owners who are looking for a financially attractive option to transition ownership while preserving their legacy and unlocking their firm’s next chapter of growth. Our unique supported and decentralized model enables a transition of ownership while minimizing disruption for their clients and taking care of their people. Aspen is a perpetual capital partner that will guarantee the firms’ continued independence for generations, ensuring their people have rich and engaging careers and their clients can continue to rely on the same unparalleled service. Aspen supports its leadership teams with best-in-class talent development programs, strong marketing and business development teams, compliance support programs, and a path-to-partnership for high performing advisors. By partnering with Aspen, firms gain critical capabilities, maintain what is special about their firm, and avoid common pain points associated with other aggregators and integrators. Aspen is backed by Alpine Investors.
Offices: New York, NY, US
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