Fund Compliance Associate

About the Role

PINE Advisor Solutions, a Centralis Company, is seeking a Fund Compliance Associate to join our Fund CCO Services team. This individual will support our Fund Chief Compliance Officers (CCOs) in managing compliance programs for registered funds (mutual funds, closed-end funds, and ETFs), including CCO reports to fund boards, Rule 38a-1 policy reviews, service provider due diligence, risk assessments, and compliance calendars.

In this role, you will work closely with the Fund CCO Services team on behalf of our fund clients, owning routine client deliverables from start to finish and supporting work on more complex clients, ensuring accuracy and timeliness. You will also correspond with clients and service providers and take minutes in client and due diligence meetings, gaining hands-on exposure to how registered funds are governed and overseen.

This is an opportunity for a curious, detail-oriented professional to step into a client-facing compliance role with visibility across fund governance, risk controls, and regulatory frameworks.

About PINE

PINE Advisor Solutions ("PINE") provides outsourced solutions for funds and investment managers. The team is driven by the belief that they are contributing to something remarkable. PINE prioritizes client service and a collaborative culture.

Key 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 key compliance documents for registered funds, 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 and stay current on developments affecting registered funds, flagging issues and asking questions.
• Assist with SEC examinations of client compliance programs, including document production.
• Support Fund CCO department projects and initiatives as needed.

Requirements & Tech Stack

• 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.
• Strong interest in registered fund compliance and regulation, and eagerness to learn, ask questions, and apply feedback.
• Strong attention to detail and the 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 don't go as planned.
• Team-oriented and collaborative, with the ability to build working relationships with colleagues and clients.

Preferred Qualifications

• 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 (mutual funds, ETFs) or fund service providers such as administrators, transfer agents, or custodians.
• SIE or CAMS certification, or interest in pursuing one.

Work Environment

• Hybrid Work Model: Working from the Denver office 2-3 days/week.

Compensation & Benefits

• Salary: $55,000 - $65,000
• Actual compensation will be determined based on experience, qualifications, and other job-related factors.
• This position may also be eligible for discretionary bonus compensation.
• Employee Benefits:
• Health Insurance – PINE covers 100% of the cost for employees.
• A comprehensive selection of medical, dental, and vision health plans.
• Life and disability insurance.
• 401(k) savings plan.
• Unlimited vacation policy.
• Paid maternity and paternity leave.

What You Can Expect From PINE

• Work-life Balance: Unlimited vacation and flexible work-from-home options are encouraged.
• Be a Leader: Opportunities to emerge as a leader and make substantial contributions.
• Environment of Learning: Emphasis on learning from each other and celebrating unique expertise with opportunities to hone new skills.