Fund Compliance, Associate Director

PINE Advisor Solutions•Denver, CO

12h•Hybrid

About The Position

PINE Advisor Solutions, a Centralis Company, is seeking a Fund Compliance Associate Director to join its Fund Chief Compliance Officers (CCO) Services team. The role supports registered fund clients by providing regulatory and compliance oversight across registered funds, investment advisers, and key fund service providers. The position calls for functional knowledge of the Investment Company Act of 1940, a strong understanding of the mutual fund ecosystem, and the ability to apply that expertise in a practical, client-facing environment. The Associate Director is also expected to leverage technology and AI-enabled tools, lead projects, and develop scalable, sustainable process efficiencies across the Fund CCO Services platform. This is a leadership role with visibility across fund compliance operations, client service delivery, and operational improvement initiatives. The position follows a hybrid schedule from the Denver office, typically two to three days per week; five office days may be required during initial training. Compensation is $80,000–$120,000, depending on experience, qualifications, and other job-related factors, with possible discretionary bonus compensation.

Requirements

At least 5–8 years of experience in compliance, risk management, audit, or the investment management industry.
Bachelor’s degree.
Functional knowledge of the Investment Company Act of 1940 and its application to registered fund compliance programs.
Strong understanding of the registered fund ecosystem, including key service providers, fund structures, and operational workflows.
Ability to identify inefficiencies, recommend practical improvements, and implement sustainable process enhancements.
Comfort with technology and interest in using digital tools and AI solutions to improve work quality, scalability, and team effectiveness.
Proficiency in Microsoft Office, including strong working knowledge of Excel and Word.
Strong analytical, organizational, and time-management skills, including the ability to manage multiple priorities.
Strong written and verbal communication skills, with the ability to communicate effectively with colleagues, clients, and service providers.
Ability to build and maintain effective working relationships with colleagues and clients, with a team-oriented and collaborative approach.

Nice To Haves

Prior experience with compliance and regulatory matters affecting investment advisers, pooled investment vehicles, and/or registered mutual funds.
Experience managing people and/or processes.

Responsibilities

Prepare and review CCO reports and other compliance deliverables for complex registered fund structures.
Complete annual policy and procedure reviews under Rule 38a-1 of the Investment Company Act of 1940.
Establish or update registered fund compliance program elements, including compliance calendars, compliance manuals, and codes of ethics.
Conduct annual due diligence reviews of registered fund service providers, including investment advisers, administrators, transfer agents, and distributors.
Assist with SEC regulatory examinations of registered fund compliance programs and serve as a primary reviewer of examination response materials.
Assist in developing, maintaining, and reviewing compliance policies and procedures.
Monitor regulatory developments affecting registered funds and help develop and implement updated policies and controls.
Develop and maintain registered fund risk assessment and risk analysis programs.
Apply knowledge of registered fund operating models and service provider landscapes to identify compliance risks, operational dependencies, and opportunities for enhanced oversight.
Monitor communications with fund service providers and ensure issues are appropriately resolved or escalated.
Use AI and emerging technologies to support research, drafting, review workflows, knowledge management, and compliance oversight, applying sound judgment, quality control, and firm governance standards.
Identify, design, and implement scalable, technology-enabled workflows, data, tools, and processes that streamline operations, reduce manual effort, and support quality and operational sustainability.
Support the development and implementation of onboarding plans and training for new Fund CCO support staff.
Manage projects, coordinate stakeholders, and drive initiatives through completion.