Associate Director, Broker-Dealer Compliance

PINE Advisor Solutions•Denver, CO

10d•Hybrid

About The Position

PINE Advisor Solutions, a Centralis Company, is seeking an Associate Director, Broker-Dealer Compliance, to join its Distribution Services team. The role partners with the Broker-Dealer Chief Compliance Officer (CCO) and independently manages day-to-day compliance operations for PINE Distributors, an SEC-registered, FINRA-member limited-purpose broker-dealer. It owns the registration, licensing, and supervisory support lifecycle for registered representatives and supports the CCO across the broader compliance program. The Associate Director is the discipline expert, responsible for final review of registration and compliance work before CCO sign-off, and serves as the primary day-to-day contact for clients and registered representatives on registration and supervisory matters. The position also coordinates with the CCO and senior team members on regulatory and compliance functions, client interactions, and special projects, while using technology to improve scalable and sustainable processes across Distribution Services. PINE provides institutional-quality outsourced solutions for funds and investment managers. The company emphasizes client service, collaboration, and a supportive, high-performing environment. The role is suited to a motivated, detail-oriented professional who is eager to learn and contribute to fund compliance operations, client service delivery, and operational improvement initiatives. The position prefers a hybrid arrangement with two days per week in the Denver office. Remote candidates located anywhere in the United States may also be considered if they have direct experience; periodic travel to Denver is expected for remote hires, approximately 5%. Salary is $80,000–$100,000, with actual compensation determined by experience, qualifications, and other job-related factors. The role may also be eligible for discretionary bonus compensation.

Requirements

Bachelor's degree or equivalent professional experience.
At least 5 years of broker-dealer compliance experience, including at least 2 years handling registration and licensing through FINRA Gateway/CRD.
Demonstrated ability to independently manage a broker-dealer registration and licensing function end to end.
Working knowledge of SEC and FINRA registration, supervision, communications, and books-and-records rules, and interest in keeping current as rules change.
Familiarity with compliance platforms, such as internal compliance management systems, registered-representative databases, and e-communications archiving and review tools.
Strong organization, attention to detail, and judgment about when to escalate.
Self-starter who takes initiative, works well in a team, and can prioritize and meet multiple deadlines.
Excellent verbal and written communication skills.
Passion for delivering an exceptional client experience.

Nice To Haves

Ability to work from the Denver office two days per week is preferred.
Remote candidates with direct experience are considered; periodic travel to Denver, approximately 5%, is expected.

Responsibilities

Manage the firm's supervisory system and core compliance calendar, with oversight from the CCO.
Maintain and update the Written Supervisory Procedures (WSPs) and supervisory control system, identify gaps, and recommend changes to the CCO.
Administer the online advertising review platform and FINRA advertising filings in partnership with the advertising review team.
Lead day-to-day coordination of FINRA cycle examinations, including document and data requests, working alongside the CCO.
Plan, schedule, and document internal inspections of offices and supervisory locations, including remote inspection elections.
Lead compliance-related projects assigned by the CCO and proactively identify process-improvement opportunities.
Connect registration, disclosure, and supervisory issues to regulatory and business risk; anticipate issues and recommend solutions to the CCO.
Use discretion when handling confidential broker-dealer and personnel information.
Serve as the primary day-to-day contact for clients and registered representatives on registration and supervisory matters, including difficult conversations with clients and service providers.
Own the final review of registration and compliance work before CCO sign-off.
Cover day-to-day compliance matters when the CCO is absent.
Communicate clearly in writing with clients, registered staff, senior management, and regulators.
Prepare and file Forms U4 and U5 and amendments through FINRA Gateway/CRD.
Coordinate fingerprinting and background checks and review prior Forms U5.
Review BrokerCheck history and disclosure events, assess potential heightened-supervision cases, and escalate cases to the CCO with recommendations.
Track examination windows and enrollments.
Monitor Firm and Regulatory Element participation and administer the firm's Firm Element Training Needs Analysis and Plan.
Disseminate compliance questionnaires and certifications, and review and maintain records of outside business activities and private securities transactions.
Maintain Form BR filings, office registrations, and residential or remote supervisory location designations.
Manage state and firm registrations and the annual FINRA renewal statement process.
Maintain an accurate register of associated persons, licenses, supervisors, and approved activities, and serve as the primary contact for registered representatives' registration questions.
Conduct or oversee email and messaging review and monitor for off-channel communications.
Administer compliance logs, including gifts and entertainment and political contributions.