Job Overview PINE Advisor Solutions ("PINE") is seeking an Associate Director of Investment Adviser Compliance to join our Adviser Compliance Support Services ("ACSS") team. This individual will support and advise PINE's investment adviser clients by assisting in the oversight and execution of compliance programs for registered investment advisers, registered funds, and private funds.
In this role, you will work closely with senior team members to deliver regulatory and compliance support, including managing key components of client compliance programs, supporting regulatory filings, and assisting with examinations. You will also maintain direct interaction with clients, contributing to relationship management while ensuring high-quality, timely execution of deliverables.
This is a strong opportunity for a detail-oriented compliance professional to step into a client-facing role with increasing responsibility across a broad range of regulatory matters. The ideal candidate will be proactive, adaptable, and motivated to deepen their expertise in investment adviser compliance within a dynamic and growing organization.
Responsibilities - Assist in the development of investment adviser risk assessment and risk analysis programs
- Complete annual reviews in accordance with Rule 206(4)-7 of the Investment Advisers Act of 1940
- Establish and/or update all required items for a registered investment adviser including an ongoing compliance calendar, compliance manual and code of ethics
- Assist with ongoing securities filings (13F, 13D/G, 13H, etc.)
- Assist with the preparation and filing of periodic and annual amendments to Form ADV
- Conduct periodic and annual employee training
- Conduct annual reviews of key vendors
- Conduct quarterly forensic compliance program testing, including performing ongoing reviews based on the clients' written policies and procedures
- Assist with regulatory examinations of clients' compliance programs conducted by regulatory authorities, including SEC, NFA and state securities boards
- Development/maintenance of compliance policies and procedures as well as the design/maintenance of the compliance program
- Manage and oversee marketing review
- Keep abreast of new rules and regulations and how it effects our clients
- Manage client relationships
Required Qualifications - 5+ years of compliance experience in the asset management space
- Minimum of 4-year college degree required
- Excellent verbal, written and presentation skills are essential
- Demonstrated experience with compliance and regulatory matters affecting the operations and governance of investment advisers, pooled investment vehicles and registered mutual funds
- Knowledge of the Investment Advisers Act of 1940, Investment Company Act of 1940, Regulation D and other SEC, FINRA, CFTC and NFA laws and regulations that affect asset managers
- Proficient in the use of MS Office: strong knowledge of Excel, PowerPoint and Word required
- Ability to manage multiple priorities effectively and contribute to a variety of tasks that support organizational goals
- Ability to establish and maintain effective working relationships with employees and clients
- Collaborative approach with a constructive attitude and strong interpersonal skills
Work Model (Hybrid) - This position follows a hybrid work schedule, working from our Denver office 3 days/week
- 5 days in the office may be required during the initial training period
Salary: $80,000 - $110,000
Actual compensation will be determined based on experience, qualifications, and other job-related factors. This position may also be eligible for discretionary bonus compensation.
Employee Benefits - Health Insurance - we cover 100% of the cost for employees
- A comprehensive selection of medical, dental, and vision health plans
- Life and disability insurance
- 401(k) savings plan
- Unlimited vacation policy
- Paid maternity and paternity leave
