Fund Compliance Associate
PINE Advisor Solutions
Denver, CO0–2 yrs3h agovia LinkedIn
This job at a glance
- Who can apply
- New grads and up to 2 years · Bachelor's degree
- Must know
- Project managementExcelREST APIsMicrosoft OfficeAccountingAuditing
- Work
- Hybrid in Denver
- Pay
- $55K–$65K a year
- Skill demand
- Excel40%Microsoft Office32%Project management8%of 99 similar entry-level jobs posted in the US this week
- Listed
- Nov 6, 2026 · still open
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About the Role
PINE Advisor Solutions is seeking a Fund Compliance Associate to support its Fund CCO Services team. This role involves managing compliance programs for registered funds, including CCO reports, policy reviews, service provider due diligence, risk assessments, and compliance calendars. The associate will manage routine client deliverables, support complex client work, and ensure accuracy and timeliness. This position offers exposure to fund governance, risk controls, and regulatory frameworks.
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, 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.
- Assist with SEC examinations of client compliance programs, including document production.
- Support Fund CCO department projects and initiatives.
Requirements & Tech Stack
- Strong Excel skills.
- Proficiency in Word and the rest of Microsoft Office.
- Ability to manage multiple deadlines.
- Clear written and verbal communication skills.
Qualifications
- 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.
- Eagerness to learn, ask questions, and apply feedback.
- Strong attention to detail.
- Logical, resourceful approach to solving problems with good judgment.
- Takes ownership of assigned work and stays solution-oriented.
- Team-oriented and collaborative.
Preferred Qualifications
- Familiarity with the Investment Company Act of 1940, Securities Act of 1933, and Securities Exchange Act of 1934.
- Familiarity 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.
- SIE or CAMS certification, or interest in pursuing one.
Work Model & Compensation
- Hybrid Work Model: 2-3 days/week in the Denver office.
- Salary: $55,000 - $65,000 (actual compensation based on experience, qualifications, and other job-related factors).
- Potential eligibility for discretionary bonus compensation.
Benefits
- Health Insurance: 100% cost covered for employees.
- Comprehensive selection of medical, dental, and vision plans.
- Life and disability insurance.
- 401(k) savings plan.
- Unlimited vacation policy.
- Paid maternity and paternity leave.