Associate Director, Investment Advisor Compliance

PINE Advisor Solutions•Quinte West, ON

4d•Hybrid

About The Position

PINE Advisor Solutions (“PINE”) is seeking an Associate Director of Investment Adviser Compliance to join our Adviser Compliance Support Services (“ACSS”) team. This individual will support and advise PINE’s investment adviser clients by assisting in the oversight and execution of compliance programs for registered investment advisers, registered funds, and private funds. In this role, you will work closely with senior team members to deliver regulatory and compliance support, including managing key components of client compliance programs, supporting regulatory filings, and assisting with examinations. You will also maintain direct interaction with clients, contributing to relationship management while ensuring high-quality, timely execution of deliverables. This is a strong opportunity for a detail-oriented compliance professional to step into a client-facing role with increasing responsibility across a broad range of regulatory matters. The ideal candidate will be proactive, adaptable, and motivated to deepen their expertise in investment adviser compliance within a dynamic and growing organization.

Requirements

5+ years of compliance experience in the asset management space
Minimum of 4-year college degree required
Excellent verbal, written and presentation skills are essential
Demonstrated experience with compliance and regulatory matters affecting the operations and governance of investment advisers, pooled investment vehicles and registered mutual funds
Knowledge of the Investment Advisers Act of 1940, Investment Company Act of 1940, Regulation D and other SEC, FINRA, CFTC and NFA laws and regulations that affect asset managers
Proficient in the use of MS Office: strong knowledge of Excel, PowerPoint and Word required
Ability to multi-task and a willingness to accept any task that will benefit a growing organization
Ability to establish and maintain effective working relationships with employees and clients
Team player with a positive attitude and strong interpersonal skills

Responsibilities

Assist in the development of 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 ongoing securities filings (13F, 13D/G, 13H, etc.)
Assist with the preparation and filing of periodic and annual amendments to Form ADV
Conduct periodic and annual employee training
Conduct annual reviews of key vendors
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
Development/maintenance of compliance policies and procedures as well as the design/maintenance of the compliance program
Manage and oversee marketing review
Keep abreast of new rules and regulations and how it effects our clients
Manage client relationships