Shape Your Future with PINE

PINE Advisor Solutions (“PINE”) is a dynamic organization that provides institutional-quality, outsourced solutions for funds and investment managers. The PINE team is driven by the belief that we are contributing to something remarkable, and we are currently seeking a qualified candidate who can excel within our collaborative & innovative atmosphere.

PINE’s rapid growth is a direct outcome of prioritizing our clients. We are in search of a highly motivated Regulatory Systems Operation Analyst to join our upward trajectory. The ideal candidate will bring exceptional problem-solving abilities, attention to detail, and technical proficiency, thriving in a role that demands adaptability, collaboration, and organizational excellence. This position is an excellent fit for individuals who can work independently while embracing our inclusive “all for one and one for all” culture.

As a key member of the Compliance and Operations teams, you will support the firm’s essential operational activities, ensuring the timely and accurate execution of critical tasks. This role requires mastering compliance and operational platforms, managing complex data, and providing innovative solutions to operational challenges. Responsibilities include maintaining compliance systems, onboarding client employees, ensuring smooth platform functionality, and driving process improvements. A proactive mindset is essential to identify and implement enhancements that increase operational efficiency and scalability in a dynamic environment.

Responsibilities

• Learn and understand the client-facing systems used in the Compliance and Operations departments.
• Onboard, terminate, and maintain client employee access on compliance platforms such as MyComplianceOffice (MCO), ComplySci, Compliance Alpha and Hadrius.
• Utilize strong problem-solving skills to develop innovative solutions to operational challenges.
• Build, maintain, and manage trackers for team-wide deliverables and ensure timely reporting of progress.
• Collaborate with the Client Success Manager to support general client onboarding tasks, ensuring smooth transitions for new clients.
• Support Excel-based compliance testing projects to ensure accuracy and consistency.
• Collaborate with internal teams to identify, troubleshoot, and resolve technical issues affecting internal systems or client platforms.
• Identify and implement process enhancements that drive operational efficiency and scalability.
• Participate in training sessions and workshops to continuously develop professional skills and knowledge.
• Prepare, file, and maintain regulatory documents, including Schedule 13, Form U4, Form U5, and ADV updates.
• Maintain communication channels with internal staff and critical stakeholders.

Qualifications

• 2+ years of experience in an operations, compliance, or support services role within the financial services industry preferred.
• Strong problem-solving skills with the ability to think critically and independently.
• Excellent organizational skills, with a strong attention to detail and the ability to prioritize competing deadlines.
• Demonstrated ability to troubleshoot technical issues and support operational platforms.
• Excellent verbal, written and presentation skills are essential.
• Knowledge of regulatory filings, including Schedule 13, Form U4 and U5, is a plus.
• Demonstrated ability to identify risks and control gaps in processes and successfully deliver process improvement.
• Passion for delivering an exceptional client & team member experience.
• Strong interpersonal skills, with the ability to collaborate with internal stakeholders.
• Team player with a positive attitude and strong interpersonal skills.Proficient in the use of MS Office: exceptional skills with Excel are essential.
• Experience with compliance platforms such as, Global Relay, MCO, Smarsh and Infosec is a plus.

Salary Range: $55,000-$70,000

Hybrid Work Model

• 3 days in the office required.
• 5 in office days may be required during 90-day training period

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 PPO and HMO medical, dental, and vision health plans

Life and disability insurance

401(k) Savings Plan

Unlimited Vacation Policy

Flexible Work from Home Policy

Quarterly Offsite Team Events

Office Snacks & Frequent Catered Team Lunches