Fund Compliance Associate | Early Career (1-3 yrs) | Denver Hybrid

PINE Advisor Solutions•Denver, CO

8d•$60,000 - $80,000•Hybrid

About The Position

PINE Advisor Solutions is looking for a Fund Compliance Associate to join our Fund Chief Compliance Officer (CCO) Services team. This role is perfect for early-career professionals with a background in finance or investment management who are eager to support compliance programs for registered funds (mutual funds, ETFs etc.). As a Fund Compliance Consultant, you’ll support the implementation of fund compliance programs, including oversight of investment advisers and key service providers. You’ll gain hands-on exposure to the infrastructure that governs registered funds, developing a strong foundation in fund governance, risk controls, and regulatory frameworks to support long-term growth and advancement within the investment management industry. About PINE PINE Advisor Solutions ("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

Bachelor’s degree in Finance, Accounting, Business, or related field
1–3 years of experience in finance, investment operations, compliance, audit, or related area
Proficiency in Microsoft Office, especially Excel and Word
Excellent analytical, organizational, and written communication skills
Project management skills and ability to utilize project management programs (ie ClickUp)
Ability to build and maintain effective working relationships with colleagues and clients, with a team-oriented and collaborative approach

Nice To Haves

Experience with registered investment companies (mutual funds, ETFs)
Knowledge of the Investment Advisers Act of 1940, Investment Company Act of 1940 and other laws and regulations that affect asset managers
Familiarity with fund service providers such as fund administrators, transfer agents, or custodians

Responsibilities

Assist in the preparation of Chief Compliance Officer (CCO) reports for registered fund boards
Complete annual policy and procedure reviews in accordance with Rule 38a-1 of the Investment Company Act of 1940
Establish and/or update key items for a registered fund including an ongoing compliance calendar, compliance manual and code of ethics
Conduct annual due diligence reviews of registered fund service providers including investment advisers/sub-advisers, administrators, transfer agents, fund distributors and custodians
Assist with regulatory examinations of registered fund compliance programs conducted by the SEC
Assist in the development/maintenance of compliance policies and procedures
Maintain awareness of regulatory developments and assist in developing updated policies for implemented rules impacting registered funds
Develop and maintain registered fund risk assessments and risk analysis programs
Support department projects and initiatives as needed