Associate Director, Investment Adviser Compliance

Job OverviewPINE Advisor Solutions (“PINE”) is seeking an Associate Director of Investment Adviser Compliance to join our Adviser Compliance Support Services (“ACSS”) team. This individual will support and advise PINE’s investment adviser clients by assisting in the oversight and execution of compliance programs for registered investment advisers, registered funds, and private funds.In this role, you will work closely with senior team members to deliver regulatory and compliance support, including managing key components of client compliance programs, supporting regulatory filings, and assisting with examinations. You will also maintain direct interaction with clients, contributing to relationship management while ensuring high-quality, timely execution of deliverables.This is a strong opportunity for a detail-oriented compliance professional to step into a client-facing role with increasing responsibility across a broad range of regulatory matters. The ideal candidate will be proactive, adaptable, and motivated to deepen their expertise in investment adviser compliance within a dynamic and growing organization.About PINEPINE 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.ResponsibilitiesAssist in the development of investment adviser risk assessment and risk analysis programsComplete annual reviews in accordance with Rule 206(4)-7 of the Investment Advisers Act of 1940Establish and/or update all required items for a registered investment adviser including an ongoing compliance calendar, compliance manual and code of ethicsAssist with ongoing securities filings (13F, 13D/G, 13H, etc.)Assist with the preparation and filing of periodic and annual amendments to Form ADVConduct periodic and annual employee trainingConduct annual reviews of key vendorsConduct quarterly forensic compliance program testing, including performing ongoing reviews based on the clients’ written policies and proceduresAssist with regulatory examinations of clients’ compliance programs conducted by regulatory authorities, including SEC, NFA and state securities boardsDevelopment/maintenance of compliance policies and procedures as well as the design/maintenance of the compliance programManage and oversee marketing reviewKeep abreast of new rules and regulations and how it effects our clientsManage client relationshipsRequired Qualifications5+ years of compliance experience in the asset management spaceMinimum of 4-year college degree requiredExcellent verbal, written and presentation skills are essentialDemonstrated experience with compliance and regulatory matters affecting the operations and governance of investment advisers, pooled investment vehicles and registered mutual fundsKnowledge of the Investment Advisers Act of 1940, Investment Company Act of 1940, Regulation D and other SEC, FINRA, CFTC and NFA laws and regulations that affect asset managersProficient in the use of MS Office: strong knowledge of Excel, PowerPoint and Word requiredAbility to manage multiple priorities effectively and contribute to a variety of tasks that support organizational goalsAbility to establish and maintain effective working relationships with employees and clientsCollaborative approach with a constructive attitude and strong interpersonal skillsWork Model (Hybrid)This position follows a hybrid work schedule, working from our Denver office 3 days/week5 days in the office may be required during the initial training periodSalary: $80,000 - $110,000Actual compensation will be determined based on experience, qualifications, and other job-related factors. This position may also be eligible for discretionary bonus compensation.Employee BenefitsHealth Insurance – we cover 100% of the cost for employeesA comprehensive selection of medical, dental, and vision health plansLife and disability insurance401(k) savings planUnlimited vacation policyPaid maternity and paternity leaveWhat You Can Expect From PINEWork-life BalanceWe 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 LeaderAt 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 LearningWe place an emphasis on learning from each other and celebrating our unique expertise. There are abundant opportunities to learn and hone new skills.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, sex (including pregnancy), age, national origin, disability status, genetic information, protected veteran status, sexual orientation, gender identity or expression, or any other characteristic protected by applicable 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.This position is expected to remain open for approximately two weeks. The posting may close sooner if the position is filled or if a sufficient number of qualified applicants are received.