Associate, Investment Adviser Compliance | Denver Hybrid

PINE Advisor Solutions•Denver, CO

1d•Hybrid

About The Position

PINE Advisor Solutions, a Centralis company, is hiring entry-level Associates for its Adviser Compliance Support Services team. The Associates provide regulatory and compliance support to registered investment adviser clients, helping them meet SEC and state requirements and maintain effective compliance programs. The role includes supporting annual reviews, risk assessment and analysis programs, compliance policies and procedures, periodic testing, regulatory filings, and examinations. It offers early-career professionals hands-on exposure to investment adviser regulation and compliance operations in a fast-paced, collaborative environment. The position follows a hybrid schedule, working from the Denver office 2–5 days per week. Salary is $55,000–$65,000, with compensation determined by experience, qualifications, and other job-related factors. The position may also be eligible for discretionary bonus compensation. PINE describes its culture as collaborative, supportive, client-service-oriented, and focused on learning, leadership, and work-life balance. The role is expected to remain open for approximately two weeks, but the posting may close sooner if the position is filled or enough qualified applicants are received.

Requirements

Bachelor’s degree in finance, business, economics, accounting, or a related field.
0–2 years of experience, including internships, in a regulatory, compliance, or finance-related field.
Proficiency in Microsoft Office, including Excel, PowerPoint, and Word.
Excellent written and verbal communication skills, including the ability to clearly convey complex information.
Collaborative approach, strong interpersonal skills, and a positive, solution-oriented attitude.
Ability to build and maintain effective relationships with colleagues and clients.
Strong interest in learning about compliance and regulatory matters affecting investment advisers, pooled investment vehicles, and registered mutual funds.

Nice To Haves

Relevant coursework in securities regulation, business law, or financial markets.
Experience in the investment management industry.
Familiarity with the Investment Advisers Act of 1940, Investment Company Act of 1940, Regulation D, and other SEC, FINRA, and NFA laws and regulations affecting asset managers.

Responsibilities

Provide regulatory and compliance support to PINE’s registered investment adviser clients.
Support oversight of registered investment adviser compliance matters.
Assist in developing registered investment adviser risk assessment and risk analysis programs.
Assist with annual reviews under Rule 206(4)-7 of the Investment Advisers Act of 1940.
Establish or update required registered investment adviser materials, including ongoing compliance calendars, compliance manuals, and codes of ethics.
Assist with preparation and filing of periodic, annual, and ongoing regulatory filings, including Form ADV, Form PF, 13F, 13D/G, and 13H.
Conduct periodic and annual employee compliance training.
Assist with annual reviews of key vendors, including administrators, transfer agents, fund distributors, auditors, and prime brokers.
Conduct quarterly forensic compliance program testing and ongoing reviews based on clients’ written policies and procedures.
Assist with regulatory examinations of clients’ compliance programs conducted by the SEC, NFA, and state securities boards.
Assist in developing and maintaining compliance policies and procedures and in designing and maintaining compliance programs.
Monitor industry regulatory developments and assist in updating registered investment adviser policies.
Provide support to Registered Fund CCO Support services as needed.