CHIEF COMPLIANCE OFFICER

We offer dedicated Chief Compliance Officer services to clients looking for more hands-on support and as their grow their firm. Outsourcing the role of Chief Compliance Officer benefits Investment Advisors by alleviating a variety of compliance related burden to us.

CHIEF FINANCIAL OFFICER

In addition to our regulatory compliance consulting services Aspect now offers a broad range of finance and operations CFO consulting services for Private Equity, Venture Capital and Hedge Funds as well as other Financial Services firms.

COMPLIANCE PROGRAM AND IMPLEMENTATION

We design custom policies and procedures based on your business and support the implementation of those controls.

REGULATORY FILINGS

Aspect Manages Your Regulatory Status and Your Regulatory Filings.

You have enough on your plate driving revenue and performance and keeping your clients satisfied. Aspect Advisors can oversee preliminary and periodic requirements to initiate and maintain the regulatory status that fits your business needs.

SEC AUDIT PREP

Regulatory examinations are inevitable and the examiners have increasingly sophisticated tools at their disposal. Our team takes audit preparedness seriously as we understand the impact that both the audit process and result can have on you from many different perspectives. To mitigate these potential issues, we implement systems of surveillance and periodic testing with the goal of identifying and reducing risk while minimizing the burden on your staff.

SCALE YOUR BUSINESS

Aspect Supports Marketing, Business Development, and Expansion. To effectively grow your business, you need confidence that your opportunity is communicated to the world in accordance with regulatory standards. We ensure that your target audience, preferred means of messaging, and marketing strategy are in line with the most recent regulatory rules, opinions, and expectations.

BESPOKE PROJECTS

Working with Aspect, you can focus on your area of expertise and grow with confidence.  We will customize solutions for all your needs. Let us know what’s on your mind.  We can help.

meet the team at aspect

justin schleifer

Justin Schleifer

Co-Founder & President
Justin Schleifer is the President and a Co-Founder of Aspect Advisors. He has spent his entire career in compliance, beginning with non-profit fiscal sponsorship before transitioning into securities compliance as a ground-floor employee at Gordian Compliance Solutions. After Gordian, Justin joined Growth Capital Services as Chief Compliance Officer, prior to Aspect’s founding in 2019.

As a consultant, Justin has been the outsourced Chief Compliance Officer for a large wealth manager, a fund-of-funds complex, an options-overlay adviser, an internet-based investment adviser/financial planner, a private placement custodian, and a private placement investment bank. His clients’ strategies run the gamut of the alternative investment spectrum and range broadly from more traditional public/private equity to debt, volatility, robo-advisor services, and digital assets and cryptocurrencies. Justin has also served as the Financial Operations Principal for multiple broker-dealers.

Justin has extensive experience interfacing with the SEC, FINRA, the NFA, and state regulators on topics ranging from initial registration applications, business expansion applications, regulatory audits, enforcement proceedings, and arbitrations. He is a firm believer in understanding and appreciating all of the traits that make his clients unique in order to provide them with tailored advice specific to their needs.

Justin earned his Bachelor of Science degree in Hotel Administration, with a concentration in Business Law, from Cornell University. He holds FINRA series 7, 24, 27, 55, 66, 79 and 87 licenses, and serves on FINRA’s Continuing Education Committee.

Courtney Rosiek

Chief Operations Officer

Courtney Rosiek joined Aspect Advisors as a Project Manager in May 2021, having served in administrative and operational management roles previously in both the non-profit and for-profit sector. 

Courtney’s most recent experience, as Member Services Manager for a FINRA member small firm, she oversaw the onboarding and maintenance of 80+ affiliate accounts.

Her interests include city planning, especially the development of bicycle infrastructure and urban foraging. In her spare time, she takes advantage of Buffalo, NY’s brief summers by hiking and kayaking as much as possible.

Jordan Jasser

Chief Financial Officer
Jordan Jasser is the Chief Financial Officer for Aspect Advisors. He has spent his entire career in Financial Services serving as CFO over the last 14+ years for Private Equity Funds, Hedge Funds and most recently a high-net-worth Single-Family Office. Prior to that, he was in public accounting for five years and then followed by some time at a fund administrator.

Based in New York, Jordan brings over 21 years of experience in leadership roles within the organizations he has been involved with and is focused on leading the efforts with the internal finance function while also working to support the needs of our clients in these areas as well.

Jordan earned his Bachelor of Science degree in Accounting and Finance, while attending The University of Buffalo.

Jim Smith

Principal Consultant

Jim Smith is a Principal Consultant and brings over 30 years of compliance and regulatory experience to Aspect Advisors. Jim’s background includes working with broker dealers, registered investment advisers, private and registered fundsJim has deep experience in the areas of regulatory exams, annual reviews, compliance culture, policies and procedures, compliance and risk training programs, performance marketing and advertising, testing programs, and mentoring compliance professionals. 

Prior to joining Aspect, Jim was a senior compliance consultant at Core Compliance & Legal Services, where he focused on investment adviser, broker-dealer, and private fund compliance programs. Prior to this, Jim was a member of the compliance team at Charles Schwabwhere he focused on implementation of an enterprise-level compliance program and appropriate controls and the development of firm-wide training program including operational risk, corporate compliance, broker-dealer, financial crimes, and information securitytraining 20K+ personnel on an annual basisJim has served as chief compliance officer with a number of large financial services firms during his career; most recently RS Investments, Inc. and BlackRock, Inc. 

Jim has held various securities licenses including Series 6, 7, 24, 26, 51 and 63, and is a current member of the National Society of Compliance Professionals (NSCP).  Jim has also been a presenter at industry conferences, and he volunteers within the community, serving as Co-President of his children’s Parent/Teacher organization (PTO) and Chairman of the School Accountability Committee (SAC). 

Mark Dempsey

Principal Consultant

Mark Dempsey is a Principal Consultant at Aspect Advisors bringing more than 10 years of experience in the financial services industry, holding various leadership roles in compliance. As a compliance professional and former regulator, Mark has a deep understanding of issues facing brokers dealers, investment advisors, and those in the digital assets space.

Prior to joining Aspect, Mark was the Director, Investment Adviser Compliance at MissionSquare Retirement, where he oversaw the compliance program for its robo-advisor ($6B in AUM). Additionally, Mark previously served as the Chief Compliance Officer at Navy Federal Brokerage Services (over 2B in AUM), where he focused on developing and implementing a compliance program for its retail broker-dealer and registered investment adviser that included oversight of financial advisors and a digital fractional share investing program. Prior to this, Mark was a regulatory analyst at the Financial Industry Regulatory Authority (FINRA) where he focused on reviews of fixed income trading.

Mark earned his Bachelor of Arts in Economics at the University of Delaware and a Masters of Security Analysis and Portfolio Management at Creighton University. Mark holds or has held various securities licenses including Series 4, 6, 7, 24, 27, 31, 52, 53, and 66 as well as a DC insurance license. Mark also holds the Certified Anti-Money Laundering Specialist (CAMS), Certified Regulatory Compliance Professional (CRCP) and Investment Adviser Certified Compliance Professional (IACCP) certifications. Mark served in the United States Marine Corps, including a deployment overseas.

Emily L. Barone

Compliance Analyst

Emily Barone joined Aspect Advisors in November 2022 as a Compliance Consultant. Prior to joining the team, she collected experience in private equity and FinTech in the areas of compliance, client services, operations, and due diligence. Her interests include hiking, baking, athletics, and meditation.

Emily earned her Bachelor of Science degree in Marketing Management and Bachelor of Science degree in Human Resources Management at Virginia Tech. She holds or has held various securities licenses including the FINRA Series, 7, 24, 63, and 79.

Diane Remer

Information Systems Manager

Diane Remer is the Information Systems Manager for Aspect Advisors. Her responsibilities at Aspect include overseeing IT infrastructure, managing endpoint and network security, and tending to any other technological or operational needs of the company.

Diane has over 10 years of IT experience and has worked for companies such as Google, Apple, and Microsoft. She has also been a project manager and operations manager at previous companies, which has taught her to prioritize long-term planning for scalability and how to stay cool headed in fast paced environments.

Diane earned a B.A. in Behavioral Sciences with a focus on Anthropology from San Jose State University. She is also an Apple Certified Macintosh Technician and Certified Casper Administrator. 

Advisory Board Members

bart

Bart Mallon

Aspect Advisors Co-Founder
Bart Mallon is a Co-Founder of Aspect Advisors and participates on our Advisory Board. He is also a Managing Partner and Co-Founder of Cole-Frieman & Mallon LLP, a successful boutique investment management law firm.

Bart has cultivated a successful career helping investment managers start and grow their businesses. His practice specializes in forming domestic and offshore hedge funds, private equity funds, and other types of pooled funds, as well as providing advice on management company operational issues, separately managed account structures, and registration and compliance matters. He is also the creator and manager of the prominent Hedge Fund Law Blog and has been quoted in a number of high-profile industry publications including the Wall Street Journal, Bloomberg Compliance Update, and Absolute Return + Alpha.

Karl Cole-Frieman

Aspect Advisors Co-Founder
Karl Cole-Frieman is a Co-Founder of Aspect Advisors and participates on our Advisory Board. He is also a Managing Partner and Co-Founder of Cole-Frieman & Mallon LLP, a successful boutique investment management law firm.

Karl has become a recognized authority in the compliance consulting industry. His extensive resume boasts of years of advising clients on critical transactional, operational and regulatory matters. His experience includes serving as General Counsel and Chief Compliance Officer of an SEC-registered hedge fund manager and Associate General Counsel of a multi-strategy hedge fund. He specializes in the formation of hedge funds, private equity funds, and other types of pooled investment vehicles.