Fund Compliance Associate

PINE Advisor Solutions•Denver, CO

2d•Hybrid

About The Position

PINE Advisor Solutions, a Centralis Company, is seeking a Fund Compliance Associate to support its Fund Chief Compliance Officers (CCOs) in managing compliance programs for registered funds, including mutual funds, closed-end funds and ETFs. The work includes supporting CCO reports to fund boards, Rule 38a-1 policy reviews, service provider due diligence, risk assessments and compliance calendars. The associate will work with the Fund CCO Services team on behalf of fund clients, owning routine client deliverables from start to finish and supporting more complex work while ensuring accuracy and timeliness. The role involves corresponding with clients and service providers and taking minutes at client and due diligence meetings. It offers hands-on exposure to registered fund governance and oversight and is suited to a curious, detail-oriented professional, including a recent graduate, interested in a client-facing compliance role. The position follows a hybrid schedule, with work from the Denver office two to three days per week. Salary is $55,000–$65,000, with actual compensation determined by experience, qualifications and other job-related factors. The role may also be eligible for discretionary bonus compensation.

Requirements

Bachelor’s degree in Finance, Accounting, Business, Economics or a related field.
0–2 years of experience in finance, investment operations, compliance, audit or a related area; recent graduates with relevant coursework or internships are encouraged to apply.
Strong interest in registered fund compliance and regulation, and eagerness to learn, ask questions and apply feedback.
Strong attention to detail and ability to manage multiple deadlines.
Strong Excel skills and proficiency in Word and the rest of Microsoft Office.
Clear written and verbal communication skills.
Logical, resourceful approach to solving problems, with good judgment about when to escalate.
Takes ownership of assigned work and stays solution-oriented when things do not go as planned.
Team-oriented and collaborative, with ability to build working relationships with colleagues and clients.

Nice To Haves

Familiarity with the Investment Company Act of 1940, Securities Act of 1933 and Securities Exchange Act of 1934, or with fund filings such as Form N-1A, N-CSR, N-PORT and N-CEN.
Exposure to registered investment companies, including mutual funds and ETFs, or fund service providers such as administrators, transfer agents or custodians.
SIE or CAMS certification, or interest in pursuing one.

Responsibilities

Assist in preparing Chief Compliance Officer (CCO) reports for registered fund boards.
Support annual policy and procedure reviews under Rule 38a-1 of the Investment Company Act of 1940.
Help draft and maintain registered fund compliance documents, including compliance calendars, compliance manuals and codes of ethics.
Prepare due diligence notes and support annual reviews of fund service providers, including investment advisers and sub-advisers, administrators, transfer agents, distributors and custodians.
Help develop and maintain registered fund risk assessments.
Track deliverables and deadlines across assigned clients in the project management system.
Correspond with clients and service providers.
Research regulatory questions, stay current on developments affecting registered funds, and flag issues or ask questions when something does not look right.
Assist with SEC examinations of client compliance programs, including document production.
Take minutes in client and due diligence meetings.
Support Fund CCO department projects and initiatives as needed.