Job Overview
PINE Advisor Solutions is seeking a Compliance Consultant to join our Advisor 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.
In this role, you will assist clients in meeting regulatory requirements, performing annual reviews, and maintaining compliance programs that align with SEC and state regulations. You will also support the development and maintenance of compliance policies, perform periodic testing, and assist with regulatory filings and examinations. This is an excellent opportunity for a motivated compliance professional to deepen their expertise in investment adviser regulation and gain hands-on exposure to compliance operations.
About PINE
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.
At PINE, we prioritize client service and a collaborative culture. The ideal candidate will be motivated, detail-oriented, eager to learn, and thrive in a high-performing and supportive environment. Our culture is built around an "all for one and one for all" philosophy. Your contributions matter, and we are a team that embraces challenges and believes in growing through doing.
Responsibilities
Support and assist PINE's registered investment adviser clients by providing regulatory and compliance support Provide oversight of registered investment adviser compliance matters 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 Assist with the preparation and filing of periodic, annual, and ongoing regulatory filings (Form ADV, Form PF, 13F, 13D/G, 13H, etc.) Conduct periodic and annual employee compliance training 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 neededQualifications
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 plusSalary Range : $55,000 - $70,000
Hybrid Schedule: This position follows a hybrid work schedule, requiring 3 days in our Denver office each week.
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.Benefits and Perks
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 Parental Leave Flexible Work from Home Policy Monthly Team Lunches
This role will remain open for applications for at least 10 days from the date of posting. Please note that we may close the posting sooner.
Position Overview
PINE Advisor Solutions is seeking an Associate Director to join our Principal Financial Officer (PFO) Services team. This individual will support the Directors in managing key relationships and deliverables across registered fund products, including mutual funds, ETFs, interval funds, tender offer funds, and closed-end funds.
In this role, you will work closely with and perform oversight of the fund administration and fund accounting teams on behalf of our clients, ensuring high-quality execution and regulatory compliance. You will also work directly with several clients, gaining hands-on exposure to the responsibilities and dynamics of acting as an outsourced financial officer and treasury team.
This is a strong opportunity for a detail-oriented professional to step into a client-facing leadership role with visibility across critical fund operations. Over time, there is potential for growth into a director-level position, including the possibility of taking on outsourced Treasurer responsibilities.
About PINE
PINE Advisor Solutions ("PINE") is a dynamic and fast-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.
At PINE, we prioritize client service and a collaborative culture. The ideal candidate will be motivated, detail-oriented, eager to learn, and thrive in a high-performing and supportive environment. Our culture is built around an "all for one and one for all" philosophy. Your contributions matter, and we are a team that embraces challenges and believes in growing through doing.
Responsibilities:
Perform detailed and analytical reviews of fund regulatory filings including Forms N-CSR, N-PORT, N-CEN, 24F-2, 10-Q, 10-K, 8-K, repurchase offers and annual prospectus updates Oversee fund expense administration activities Review of fund income and capital gain distributions Review and maintain valuation schedules of private investments Maintain knowledge of changing industry regulations Prepare and coordinate materials relating to fund board meetings, valuation committee meetings, and disclosure control meetings relating to the Sarbanes-Oxley Act Coordinate the external audit and tax process on behalf of clients, serve as main audit contact Maintain and nurture multiple client and business partner relationships, ensuring effective communication and collaboration.Qualifications:
Minimum of 8 years of experience in the financial services industry, with a strong preference for fund accounting, fund administration, or audit of registered fund products Bachelor's degree Demonstrated expertise in regulatory and compliance reporting for registered funds Proficient in Microsoft Office Suite with advanced Excel skills (e.g., pivot tables, formulas, data analysis) Exceptional written and verbal communication skills, with the ability to articulate complex financial concepts clearly Proven ability to manage multiple priorities and deliver high-quality work under tight deadlines Strong organizational skills and attention to detail, especially in financial and compliance documentation Proactive, resourceful, and comfortable operating in a dynamic, high-growth environment Eagerness to learn and apply regulatory changes and industry best practices Collaborative mindset with a strong commitment to client service and team successSalary Range: $90,000 - $120,000 annually based on experience
Work Model
Employees based near our Denver headquarters follow a hybrid schedule, working onsite three days per week (preferred). Remote candidates will be considered for this role, provided they have a minimum of 8 years of relevant experience.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.Benefits and Perks
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 Parental Leave Flexible Work from Home Policy Monthly Team Lunches
This role will remain open for applications for at least 10 days from the date of posting. Please note that we may close the posting sooner.
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