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.
We encourage you to apply even if you feel that you do not meet all of the above qualifications. Frequently cited statistics show that women and underrepresented groups apply to jobs only if they meet 100% of the qualifications. Evergreen encourages you to break that statistic and to apply. No one ever meets 100% of the requirements. We look forward to your application!
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
*
indicates a required field
First Name *
Last Name *
Email *
Phone
Resume/CV *
Enter manually
Accepted file types: pdf, doc, docx, txt, rtf
LinkedIn Profile
What is your targeted compensation range? *
Are you location agnostic or willing to relocate? * Select...
If you answered yes to the above, please indicate at least two regions you would be open to moving to (West, Midwest, South East, South West, North East): *
Education
School * Select...
Degree * Select...
Select...
Select...
Start date year *
End date month * Select...
End date year *
U.S. Standard Demographic Questions
We invite applicants to share their demographic background. If you choose to complete this survey, your responses may be used to identify areas of improvement in our hiring process.
How would you describe your gender identity? (mark all that apply) Select...
How would you describe your racial/ethnic background? (mark all that apply) Select...
How would you describe your sexual orientation? (mark all that apply) Select...
Do you identify as transgender? Select...
Do you have a disability or chronic condition (physical, visual, auditory, cognitive, mental, emotional, or other) that substantially limits one or more of your major life activities, including mobility, communication (seeing, hearing, speaking), and learning? Select...
Are you a veteran or active member of the United States Armed Forces? Select...
Voluntary Self-Identification
For government reporting purposes, we ask candidates to respond to the below self-identification survey.Completion of the form is entirely voluntary. Whatever your decision, it will not be considered in the hiringprocess or thereafter. Any information that you do provide will be recorded and maintained in aconfidential file.
As set forth in Evergreen Services Group’s Equal Employment Opportunity policy,we do not discriminate on the basis of any protected group status under any applicable law.
If you believe you belong to any of the categories of protected veterans listed below, please indicate by making the appropriate selection.As a government contractor subject to the Vietnam Era Veterans Readjustment Assistance Act (VEVRAA), we request this information in order to measurethe effectiveness of the outreach and positive recruitment efforts we undertake pursuant to VEVRAA. Classification of protected categoriesis as follows:
A "disabled veteran" is one of the following: a veteran of the U.S. military, ground, naval or air service who is entitled to compensation (or who but for the receipt of military retired pay would be entitled to compensation) under laws administered by the Secretary of Veterans Affairs; or a person who was discharged or released from active duty because of a service-connected disability.
A "recently separated veteran" means any veteran during the three-year period beginning on the date of such veteran's discharge or release from active duty in the U.S. military, ground, naval, or air service.
An "active duty wartime or campaign badge veteran" means a veteran who served on active duty in the U.S. military, ground, naval or air service during a war, or in a campaign or expedition for which a campaign badge has been authorized under the laws administered by the Department of Defense.
An "Armed forces service medal veteran" means a veteran who, while serving on active duty in the U.S. military, ground, naval or air service, participated in a United States military operation for which an Armed Forces service medal was awarded pursuant to Executive Order 12985.
Select...
Voluntary Self-Identification of Disability
Form CC-305
Page 1 of 1
OMB Control Number 1250-0005
Expires 04/30/2026
Voluntary Self-Identification of Disability
Form CC-305 Page 1 of 1 OMB Control Number 1250-0005 Expires 04/30/2026
Why are you being asked to complete this form?We are a federal contractor or subcontractor. The law requires us to provide equal employment opportunity to qualified people with disabilities. We have a goal of having at least 7% of our workers as people with disabilities. The law says we must measure our progress towards this goal. To do this, we must ask applicants and employees if they have a disability or have ever had one. People can become disabled, so we need to ask this question at least every five years.
Completing this form is voluntary, and we hope that you will choose to do so. Your answer is confidential. No one who makes hiring decisions will see it. Your decision to complete the form and your answer will not harm you in any way. If you want to learn more about the law or this form, visit the U.S. Department of Labor’s Office of Federal Contract Compliance Programs (OFCCP) website at www.dol.gov/ofccp .
How do you know if you have a disability?A disability is a condition that substantially limits one or more of your “major life activities.” If you have or have ever had such a condition, you are a person with a disability. Disabilities include, but are not limited to:
- Alcohol or other substance use disorder (not currently using drugs illegally)
- Autoimmune disorder, for example, lupus, fibromyalgia, rheumatoid arthritis, HIV/AIDS
- Blind or low vision
- Cancer (past or present)
- Cardiovascular or heart disease
- Celiac disease
- Cerebral palsy
- Deaf or serious difficulty hearing
- Diabetes
- Disfigurement, for example, disfigurement caused by burns, wounds, accidents, or congenital disorders
- Epilepsy or other seizure disorder
- Gastrointestinal disorders, for example, Crohn's Disease, irritable bowel syndrome
- Intellectual or developmental disability
- Mental health conditions, for example, depression, bipolar disorder, anxiety disorder, schizophrenia, PTSD
- Missing limbs or partially missing limbs
- Mobility impairment, benefiting from the use of a wheelchair, scooter, walker, leg brace(s) and/or other supports
- Nervous system condition, for example, migraine headaches, Parkinson’s disease, multiple sclerosis (MS)
- Neurodivergence, for example, attention-deficit/hyperactivity disorder (ADHD), autism spectrum disorder, dyslexia, dyspraxia, other learning disabilities
- Partial or complete paralysis (any cause)
- Pulmonary or respiratory conditions, for example, tuberculosis, asthma, emphysema
- Short stature (dwarfism)
- Traumatic brain injury
Disability Status Select...
PUBLIC BURDEN STATEMENT: According to the Paperwork Reduction Act of 1995 no persons are required to respond to a collection of information unless such collection displays a valid OMB control number. This survey should take about 5 minutes to complete.
#J-18808-Ljbffr
