Director of Investment Adviser Compliance

PINE Advisor Solutions•Denver, CO

3d•Hybrid

About The Position

PINE Advisor Solutions (“PINE”) is seeking a Director of Investment Adviser Compliance to join our team. The Director will support and advise PINE’s investment adviser clients by overseeing compliance programs for registered investment advisers, registered funds, and private funds. This is a high-impact, client-facing leadership role ideal for an experienced compliance professional who thrives on building relationships, solving complex regulatory challenges, and leading engagements across a dynamic client base. The ideal candidate will bring strong judgment, deep knowledge of applicable SEC regulations, and a proactive mindset toward managing risk and regulatory obligations. PINE is a dynamic and fast-growing organization that provides institutional-quality outsourced solutions for funds and investment managers. Our team is driven by the belief that we are contributing to something remarkable. At PINE, we prioritize client service and a collaborative culture. The ideal candidate will be motivated, detail-oriented, eager to learn, and thrive in a high-performing and supportive environment. Our culture is built around an “all for one and one for all” philosophy. Your contributions matter, and we are a team that embraces challenges and believes in growing through doing.

Requirements

10+ years in investment advisory compliance consulting or in-house
Prior experience as an RIA CCO
Bachelor's degree required, MBA or JD preferred
Deep expertise in Advisers Act, Investment Company Act, SEC regulations
Specific experience in asset management, hedge funds, private equity a plus
Compliance certifications like IACCP or CCEP preferred
Excellent written/verbal communication and presentation skills
Lead calls and draft responses during SEC examinations and enforcement actions
Existing network and business development experience
Speak at industry conferences; author compliance articles
Flexibility to work independently and in a team environment
Dedication to ethics, integrity, and client service
NFA/CFTC experience is a plus
Strong interpersonal skills with the ability to build effective working relationships
Ability to collaborate with colleagues, clients, and junior team members

Responsibilities

Serve as the outsourced CCO for RIAs, managing multiple client accounts across a variety of investment strategies.
Provide guidance on Advisers Act, ICA, SEC regulations
Leverage excellent communication, collaboration, client service and relationship management skills to guide and mentor team members; provide coaching and development opportunities
Lead a team in delivering compliant programs for SEC-registered advisers
Conduct regularly scheduled calls and meetings to advise clients on regulatory best practices
Oversee development of key compliance work products: written policies and procedures, risk assessments, compliance manuals, codes of ethics, compliance calendars
Perform annual 206(4)-7 reviews examining adviser's policies, procedures, and documentation
Conduct forensic testing and ongoing compliance monitoring based on risk assessments
Assist with regulatory filings such as Form ADV, Form PF, 13F, and fund compliance questionnaires
Represent clients in SEC examinations and enforcement actions; develop action plans and responses
Identify opportunities to enhance compliance services and add value for clients
Participate in business development initiatives, conference speaking, and client meetings
Exercise discretion and make independent judgments on matters of significance
Thrive in a fast-paced small team environment
Stay current on regulations and compliance trends; pursue continuing education
Embrace new initiatives and continuously enhance internal processes and workflow