Regulatory Compliance Expert

5 days ago


Denver, Colorado, United States PINE Advisor Solutions Full time
Position Overview:
PINE Advisor Solutions, a dynamic organization providing institutional-quality outsourced solutions for funds and investment managers, seeks a highly motivated Associate Director of Fund CCO Services. We prioritize our clients' needs and are driven by a belief in contributing to something remarkable. Our team is innovative, synergetic, and inclusive, valuing teamwork and a positive attitude.

Job Summary:
This role supports Fund Chief Compliance Officers (CCOs) and registered fund clients by providing regulatory compliance oversight services. The successful candidate will lead and mentor a team of Compliance Consultants, manage the preparation of CCO reports, and conduct annual due diligence reviews of registered fund service providers. They will also assist with regulatory examinations and stay informed of regulatory developments.

Key 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 act as the 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 act as the primary reviewer for responses to examination requests.
  • 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.

Requirements:
  • 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 is highly preferred.
  • Some experience managing people and/or processes is 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 Advisor Solutions:
We value our employees and provide opportunities for growth and development. Our benefits package includes unlimited vacation, flexible work-from-home options, health insurance, 401(k) savings plan, life and disability insurance, quarterly offsite team events, office snacks, and frequent catered team lunches.
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