Senior Fund Compliance Consultant, Fund Chief Compliance Officer Services - PINE Advisor Solutions

Position Overview:

PINE Advisor Solutions ("PINE") is a dynamic organization that provides institutional-quality, outsourced solutions for funds and investment managers. The PINE team is driven by the belief that we are contributing to something remarkable, and we are currently seeking a qualified candidate who can excel within our synergetic & innovative atmosphere.

PINE's rapid growth and success is a direct outcome of prioritizing our clients. We are in search of a highly motivated Associate Director of Fund CCO Services to join us on our upward trajectory. The ideal candidate will be motivated by a passion for learning and contributing, adept at managing multiple tasks with a keen attention to detail and committed to embracing our inclusive "all for one and one for all" culture.

The Associate Director will Support Fund CCOs and assist PINE’s registered fund clients by providing regulatory compliance oversight services for our registered fund clients including oversight of compliance programs of key fund service providers.

Responsibilities:

• Complete annual policy and procedure reviews in accordance with Rule 38a-1 of the Investment Company Act of 1940
• Lead and mentor a team of Compliance Consultants
• Manage the preparation of CCO reports for registered fund boards and acts as first line of review
• Prepare and review CCO reports and other compliance deliverables for complex registered fund structures
• 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 and acts as primary reviewer for responses to examination request
• Assist in the development/maintenance/ongoing review of compliance policies and procedures
• Stay informed of regulatory developments and assist in developing updated policies for registered funds
• Develop and maintain registered fund risk assessment and risk analysis programs
• Monitor ongoing communication with fund service providers and ensure appropriate resolution or escalation of all matters reported or raised by service providers
• Collaborate in the development and maintenance of processes and desktop procedures for running multiple fund compliance programs and all associated chief compliance officer deliverables
• Aid in the development and implementation of onboarding plans, including training, of new Fund CCO support staff
• Lead or support department projects as needed

Qualifications:

• Minimum 3 years of experience in the compliance, risk, audit or investment management space
• Knowledge of the Investment Advisers Act of 1940, Investment Company Act of 1940 and other laws and regulations that affect asset managers
• Experience with compliance and regulatory matters affecting the operations and governance of investment advisers, pooled investment vehicles and/or registered mutual funds highly preferred
• Some experience managing people and/or processes preferred
• Minimum of 4-year college degree required
• Excellent written and verbal skills are essential
• Proficient in the use of MS Office: strong knowledge of Excel, PowerPoint and Word required
• Strong time management and organizational skills
• Ability to establish and maintain effective working relationships with employees and clients
• Team player with a positive attitude and strong interpersonal skills

Salary Range

$80,000 - $110,000

Work Model

Hybrid work arrangement with a preference for 3 days in the office each week. Remote work may be considered for highly qualified candidates.

What You Can Expect From PINE

Work-life Balance

We trust you to be the expert on creating an environment that allows you to bring your best self to work. With unlimited vacation and flexible work-from-home options, we encourage a work-life balance that brings out the best in our team.

Be a Leader

At PINE, we prioritize ensuring that each team member has the chance to emerge as a leader and make substantial contributions to our company.

Experience an Environment of Learning

We place an emphasis on learning from each other and celebrating our unique expertise. There are abundant opportunities to learn and hone new skills.

Benefits and Perks

Health Insurance – we cover 100% of the cost of medical, dental, and vision insurance for Employees, with a comprehensive selection of PPO, HDHP, and HMO plans.

Unlimited Vacation Policy – and yes, we want you to use it!

401(k) Savings Plan

Life and disability insurance

Quarterly Offsite Team Events

Office Snacks & Frequent Catered Team Lunches

PINE Advisor Solutions provides equal employment opportunities to all employees and applicants for employment and prohibits discrimination and harassment of any type without regard to race, color, religion, age, sex, national origin, disability status, genetics, protected veteran status, sexual orientation, gender identity or expression, or any other characteristic protected by federal, state or local laws. This policy applies to all terms and conditions of employment, including recruiting, hiring, placement, promotion, termination, layoff, recall, transfer, leaves of absence, compensation and training.