Associate, Investment Adviser Compliance | Denver Hybrid

Position Overview

PINE Advisor Solutions is seeking a Compliance Consultant to join our Adviser Compliance Support Services (ACSS) team. This individual will provide regulatory and compliance support to PINE’s registered investment adviser clients in a fast-paced, team-oriented environment.

About PINE

PINE Advisor Solutions ("PINE") is a dynamic and growing organization that provides institutional-quality outsourced solutions for funds and investment managers. Our team is driven by the belief that we are contributing to something remarkable.

Responsibilities

• Support and assist PINE’s registered investment adviser clients by providing regulatory and compliance support
• Assist in the development of registered 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
• Aid in the preparation and filing of periodic, annual, and ongoing regulatory filings (Form ADV, Form PF, 13F, 13D/G, 13H, etc.)
• Conduct annual reviews of key vendors including administrators, transfer agents, fund distributors, auditors, prime brokers, etc.
• 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
• Assist in the development/maintenance of compliance policies and procedures as well as the design/maintenance of the compliance program
• Maintain awareness of industry regulatory developments and assist in developing updated policies for registered investment advisers
• Provide support to Registered Fund CCO Support services as needed

Qualifications

• Bachelor’s degree required, preferably in finance, business, economics, or a related field
• 1-5 years of experience in a regulatory and compliance field, preferably within the investment management industry
• Proficiency in MS Office, with advanced knowledge of Excel, PowerPoint, and Word
• Excellent written and verbal communication skills, with the ability to clearly convey complex information
• Collaborative team member with strong interpersonal skills and a positive, solution-oriented approach
• Demonstrated ability to build and maintain effective relationships with colleagues and clients
• Knowledge of the Investment Advisers Act of 1940, Investment Company Act of 1940, Regulation D, and other SEC, FINRA and NFA laws and regulations that affect asset managers is preferred
• Demonstrated experience with compliance and regulatory matters affecting the operations and governance of investment advisers, pooled investment vehicles and registered mutual funds is a plus

Work Model (Hybrid)

This position follows a hybrid work schedule, working from our Denver office 2-5 days/week

Salary

$60,000 - $75,000

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