Associate, Investment Adviser Compliance | Denver Hybrid
About The Position
PINE Advisor Solutions is seeking a Compliance Consultant to join our Adviser Compliance Support Services (ACSS) team. This individual will provide regulatory and compliance support to PINE’s registered investment adviser clients in a fast-paced, team-oriented environment. In this role, you will assist clients in meeting regulatory requirements, performing annual reviews, and maintaining compliance programs that align with SEC and state regulations. You will also support the development and maintenance of compliance policies, perform periodic testing, and assist with regulatory filings and examinations. This is an excellent opportunity for a motivated compliance professional to deepen their expertise in investment adviser regulation and gain hands-on exposure to compliance operations.
Requirements
- Bachelor’s degree required, preferably in finance, business, economics, or a related field
- 1-5 years of experience in a regulatory and compliance field, preferably within the investment management industry
- Proficiency in MS Office, with advanced knowledge of Excel, PowerPoint, and Word
- Excellent written and verbal communication skills, with the ability to clearly convey complex information
- Collaborative team member with strong interpersonal skills and a positive, solution-oriented approach
- Demonstrated ability to build and maintain effective relationships with colleagues and clients
Nice To Haves
- 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
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
Benefits
- Health Insurance – we cover 100% of the cost for employees
- A comprehensive selection of medical, dental, and vision health plans
- Life and disability insurance
- 401(k) savings plan
- Unlimited vacation policy
- Paid maternity and paternity leave
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What This Job Offers
Job Type
Full-time
Career Level
Mid Level
