Chief Compliance Officer - Aspen Standard Wealth
Chicago or New York City
Evergreen Services Group is a San Francisco based holding company that acquires and operates B2B services companies across North America. Since its founding in late 2017, Evergreen has completed 100+ acquisitions across Managed IT Services, Cybersecurity, Financial Software and Government Services. We are driven by a people first mission to marry capital allocation with inspired operations, thus creating North America’s best home for businesses.
The Evergreen holding company team is comprised of 35+ professionals based in San Francisco who are focused on capital allocation, M&A, executive level hiring, strategic board leadership, and finance and accounting. Evergreen is a uniquely long-term oriented holding company that seeks to hold and grow businesses indefinitely rather than follow the 5-7 year holding period of a typical private equity fund. This allows us to take a truly long-term view on performance and people. Evergreen is backed by Alpine Investors , a leading private equity firm focused on the services and software industries with $16B+ in AUM.
Company: Aspen Standard Wealth (Newly Formed, PE-Backed RIA Aggregator)
Role: Chief Compliance Officer (reporting to CEO)
Location: Chicago or New York City
Mission:
To build and lead a comprehensive compliance function that aligns with Aspen's strategic goals, ensuring regulatory adherence, managing risk, and fostering a culture of integrity across the organization. The Chief Compliance Officer (CCO) will be pivotal in establishing and maintaining the compliance infrastructure necessary to support Aspen's high-paced growth and M&A aggregation strategy.
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.
DIVERSITY, EQUITY, & INCLUSION AT EVERGREEN
At Evergreen, we acknowledge that an emphasis on diversity, equity and inclusion (“DE&I”) is essential to hiring phenomenal people. To create the best home for businesses and spark success at our firm and throughout our portfolio, we aim to establish an environment where every person is welcomed, accepted and empowered to excel in their role. These beliefs run true to our PeopleFirst philosophy, which emphasizes attributes over experience, we strive to recruit and work with those from a range of backgrounds, which drives creativity and innovation. At Evergreen, we recognize that we must continue to improve and expand and we are enthusiastic about maintaining Evergreen as one of the best places to work by ensuring a culture of inclusion and allowing everyone an unbiased opportunity to grow.
Compensation
A competitive compensation package will be offered alongside a benefits package.
Evergreen Services Group is proud to be an Equal Opportunity and Affirmative Action Employer. We evaluate qualified applicants without regard to race, color, religion (including religious dress and grooming practices), sex (including pregnancy, childbirth and related medical conditions, breastfeeding, and conditions related to breastfeeding), gender, gender identity, gender expression, national origin, ancestry, age (40 or over), physical or medical disability, medical condition, marital status, registered domestic partner status, sexual orientation, genetic information, military and/or veteran status, or any other basis prohibited by applicable state or federal law. As an equal opportunity employer, we offer competitive compensation packages, robust benefits and professional growth opportunities aimed at helping to improve our employees' lives and careers.
Compensation
A competitive compensation package will be offered alongside a benefits package.
Evergreen Services Group is proud to be an Equal Opportunity and Affirmative Action Employer. We evaluate qualified applicants without regard to race, color, religion (including religious dress and grooming practices), sex (including pregnancy, childbirth and related medical conditions, breastfeeding, and conditions related to breastfeeding), gender, gender identity, gender expression, national origin, ancestry, age (40 or over), physical or medical disability, medical condition, marital status, registered domestic partner status, sexual orientation, genetic information, military and/or veteran status, or any other basis prohibited by applicable state or federal law. As an equal opportunity employer, we offer competitive compensation packages, robust benefits and professional growth opportunities aimed at helping to improve our employees' lives and careers.Apply for this job
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