Position Overview:PINE Advisor Solutions ("PINE") is seeking a Director of Investment Adviser Compliance to join our team. The Director will support and advise PINE's investment adviser clients by overseeing compliance programs for registered investment advisers, registered funds, and private funds. This is a high-impact, client-facing leadership role ideal for an experienced compliance professional who thrives on building relationships, solving complex regulatory challenges, and leading engagements across a dynamic client base. The ideal candidate will bring strong judgment, deep knowledge of applicable SEC regulations, and a proactive mindset toward managing risk and regulatory obligations.
Responsibilities - Serve as the outsourced CCO for RIAs, managing multiple client accounts across a variety of investment strategies. Provide guidance on Advisers Act, ICA, SEC regulations
- Leverage excellent communication, collaboration, client service and relationship management skills to guide and mentor team members; provide coaching and development opportunities
- Lead a team in delivering compliant programs for SEC-registered advisers
- Conduct regularly scheduled calls and meetings to advise clients on regulatory best practices
- Oversee development of key compliance work products: written policies and procedures, risk assessments, compliance manuals, codes of ethics, compliance calendars
- Perform annual 206(4)-7 reviews examining adviser's policies, procedures, and documentation
- Conduct forensic testing and ongoing compliance monitoring based on risk assessments
- Assist with regulatory filings such as Form ADV, Form PF, 13F, and fund compliance questionnaires
- Represent clients in SEC examinations and enforcement actions; develop action plans and responses
- Identify opportunities to enhance compliance services and add value for clients
- Participate in business development initiatives, conference speaking, and client meetings
- Exercise discretion and make independent judgments on matters of significance
- Thrive in a fast-paced small team environment
- Stay current on regulations and compliance trends; pursue continuing education
- Embrace new initiatives and continuously enhance internal processes and workflow
Qualifications - 10+ years in investment advisory compliance consulting or in-house
- Prior experience as an RIA CCO
- Bachelor's degree required, MBA or JD preferred
- Deep expertise in Advisers Act, Investment Company Act, SEC regulations
- Specific experience in asset management, hedge funds, private equity a plus
- Compliance certifications like IACCP or CCEP preferred
- Excellent written/verbal communication and presentation skills
- Lead calls and draft responses during SEC examinations and enforcement actions
- Existing network and business development experience
- Speak at industry conferences; author compliance articles
- Flexibility to work independently and in a team environment
- Dedication to ethics, integrity, and client service
- NFA/CFTC experience is a plus
- Strong interpersonal skills with the ability to build effective working relationships
- Ability to collaborate with colleagues, clients, and junior team members
Location/Remote Work - Candidates who can work out of our Denver office 3-5 days per week are preferred, However, we are open to hiring remote employees located anywhere in the US with investment compliance experience for the right fit
- Please indicate your location and remote work interest in your application.
- Some periodic travel to Denver will be expected for remote hires
Salary Range: $150,000 - $180,000
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
What You Can Expect From PINE Work-life Balance - We trust you to be the expert on creating an environment that allows you to bring your best self to work. With unlimited vacation and flexible work-from-home options, we encourage a work-life balance that brings out the best in our team.
Be a Leader - At PINE, we prioritize ensuring that each team member has the chance to emerge as a leader and make substantial contributions to our company.
Experience an Environment of Learning - We place an emphasis on learning from each other and celebrating our unique expertise. There are abundant opportunities to learn and hone new skills.
This position is expected to remain open for approximately two weeks. The posting may close sooner if the position is filled or if a sufficient number of qualified applicants are received.
