Job Description

Position Overview

PINE Advisor Solutions is looking for a Fund Compliance Consultant to join our Fund Chief Compliance Officer (CCO) Services team. This role is perfect for early-career professionals with a background in finance or investment management who are eager to support compliance programs for registered funds (mutual funds, ETFs etc.).

As a Compliance Consultant, you’ll support the implementation of fund compliance programs, including oversight of investment advisers and key service providers. You’ll gain hands-on exposure to the infrastructure that governs registered funds, developing a strong foundation in fund governance, risk controls, and regulatory frameworks to support long-term growth and advancement within the investment management industry.

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:

• Assist in the preparation of CCO reports for registered fund boards
• Complete annual policy and procedure reviews in accordance with Rule 38a-1 of the Investment Company Act of 1940
• Establish and/or update key items for a registered fund including an ongoing compliance calendar, compliance manual and code of ethics
• Conduct annual due diligence reviews of registered fund service providers including investment advisers/sub-advisers, administrators, transfer agents, fund distributors and custodians
• Assist with regulatory examinations of registered fund compliance programs conducted by the SEC
• Assist in the development/maintenance of compliance policies and procedures
• Maintain awareness of regulatory developments and assist in developing updated policies for implemented rules impacting registered funds
• Develop and maintain registered fund risk assessments and risk analysis programs

Required Qualifications:

• Bachelor’s degree in Finance, Accounting, Business, or related field
• 1–3 years of experience in finance, investment operations, compliance, audit, or related area
• Proficiency in Microsoft Office, especially Excel
• Excellent analytical, organizational, and written communication skills
• Project management skills and ability to utilize project management programs (ie ClickUp)
• Ability to establish and maintain effective working relationships with employees and clients
• Team player with a positive attitude and strong interpersonal skills

Preferred Qualifications:

• Experience with registered investment companies (mutual funds, ETFs)
• Knowledge of the Investment Advisers Act of 1940, Investment Company Act of 1940 and other laws and regulations that affect asset managers
• Familiarity with fund service providers such as fund administrators, transfer agents, or custodians

Salary Range : $55,000 – $70,000 based on experience

Hybrid Work Model

• 3 days working from PINE’s Denver, CO office required each week
• 5 days in office may be required during initial 90-day training period

What You Can Expect From PINE

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.

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.

Benefits and Perks

Health Insurance – we cover 100% of the cost for Employees!

A comprehensive selection of EPO, PPO, and HMO medical, dental, and vision health plans

Paid parental leave

Life and disability insurance

401(k) Savings Plan

Unlimited Vacation Policy

Quarterly Offsite Team Events

Office Snacks & Frequent Catered Team Lunches

PINE Advisor Solutions provides equal employment opportunities to all employees and applicants for employment and prohibits discrimination and harassment of any type without regard to race, color, religion, age, sex, national origin, disability status, genetics, protected veteran status, sexual orientation, gender identity or expression, or any other characteristic protected by federal, state or local laws. This policy applies to all terms and conditions of employment, including recruiting, hiring, placement, promotion, termination, layoff, recall, transfer, leaves of absence, compensation and training.

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