Job Overview
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 Compliance Consultant to join our upward trajectory. The ideal candidate will be motivated by a passion for learning and contributing, skilled at handling diverse responsibilities and committed to embracing our inclusive "all for one and one for all" culture.
As an integral member of PINE’s ACSS Team, you will provide regulatory and compliance support in a fast-paced, team-oriented environment. This role requires keen attention to detail and strong client service skills as you will play a key role in ensuring PINE’s investment adviser clients meet industry requirements while driving compliance initiatives forward.
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 needed
Qualifications
- 1-5 years of experience in a regulatory and compliance field preferred
- Team player with a positive attitude and strong interpersonal skills
- Excellent verbal, written and presentation skills are essential
- Ability to establish and maintain effective working relationships with employees and clients
- Proficient in the use of MS Office: strong knowledge of Excel, PowerPoint and Word required
- 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
Salary Range : $55,000 - $70,000
Location/Remote Work
- 3 days working from PINE’s Denver 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