Associate, Investment Adviser Compliance | Raleigh Hybrid

PINE Advisor Solutions•Raleigh, NC

1d•$55,000 - $65,000•Hybrid

About The Position

PINE Advisor Solutions, a Centralis company, is seeking an entry-level Associate to join its Adviser Compliance Support Services (ACSS) team. The Associate will provide regulatory and compliance support to PINE’s registered investment adviser clients in a fast-paced, team-oriented environment. The role supports clients with regulatory requirements, annual reviews, and maintaining compliance programs aligned with SEC and state regulations. It also involves developing and maintaining compliance policies, conducting periodic testing, and assisting with regulatory filings and examinations. The position offers an early-career professional hands-on exposure to investment adviser regulation and compliance operations. This position follows a hybrid schedule, working from the Raleigh office 2–3 days per week. The listed salary range 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.

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; experience within the investment management industry is preferred.
Proficiency in Microsoft Office, including Excel, PowerPoint, and Word.
Excellent written and verbal communication skills, with the ability to clearly convey complex information.
Collaborative approach, strong interpersonal skills, and a positive, solution-oriented outlook.
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.
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.
Experience in the investment management industry.

Responsibilities

Provide regulatory and compliance support to PINE’s registered investment adviser clients.
Support oversight of registered investment adviser compliance matters.
Assist with the development of registered investment adviser risk assessment and risk analysis programs.
Assist with annual reviews in accordance with Rule 206(4)-7 of the Investment Advisers Act of 1940.
Assist in establishing or updating required registered investment adviser materials, including an ongoing compliance calendar, compliance manual, and code of ethics.
Assist with the 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, including ongoing reviews based on clients’ written policies and procedures.
Assist with regulatory examinations of clients’ compliance programs conducted by authorities including the SEC, NFA, and state securities boards.
Assist in developing and maintaining compliance policies and procedures and in designing and maintaining compliance programs.
Maintain awareness of industry regulatory developments and assist in updating registered investment adviser policies.
Provide support to Registered Fund CCO Support services as needed.