Shape Your Future with PINE

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Position Overview:

PINE Advisor Solutions is seeking a Fund Compliance Associate Director to join our team. The Associate Director will support PINE’s registered fund clients by providing regulatory and compliance oversight of registered funds, investment advisers, and service provider compliance matters. This is a strong opportunity for a detail-oriented professional to step into a client-facing leadership role with visibility across critical fund compliance operations.

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:

• Mentor and help develop a team of Compliance Consultants
• Prepare and review CCO reports and other compliance deliverables for complex registered fund structures
• 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, administrators, transfer agents and fund distributors
• Assist with regulatory examinations of registered fund compliance programs conducted by the SEC and acts as primary reviewer for responses to examination request
• Assist in the development/maintenance/ongoing review of compliance policies and procedures
• Stay informed of regulatory developments and assist in developing updated policies for registered funds
• Develop and maintain registered fund risk assessment and risk analysis programs
• Monitor ongoing communication with fund service providers and ensures appropriate resolution or escalation of all matters reported or raised by service providers
• Collaborate in the development and maintenance of processes and desktop procedures for running multiple fund compliance programs and all associated chief compliance officer deliverables
• Support the development and implementation of onboarding plans, including training, for new Fund CCO support staff
• Lead or contribute to departmental projects as needed

Qualifications:

• Minimum of 3 years of experience in compliance, risk management, audit, or the investment management industry
• Bachelor’s degree required
• Excellent written and verbal communication skills
• Proficient in the use of MS Office, with strong knowledge of Excel, PowerPoint and Word
• Ability to manage multiple priorities and take initiative in a growing organization
• Strong time management and organizational skills
• Proven ability to build and maintain effective working relationships with colleagues and clients
• Team-oriented mindset with a positive attitude and strong interpersonal skills
• Experience managing people and/or processes preferred
• Prior experience with compliance and regulatory matters affecting investment advisers, pooled investment vehicles, and/or registered mutual funds highly preferred
• Prior experience with compliance and regulatory matters affecting investment advisers, pooled investment vehicles, and/or registered mutual funds highly preferred

Salary Range: $80,000 – $110,000

Hybrid Work Model

• 3 days in office required
• 5 days may be required during initial 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 EPO, 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

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.