Associate, Investment Adviser Compliance

About the Role

PINE Advisor Solutions, a Centralis company, is seeking multiple entry-level Associates for the Adviser Compliance Support Services (ACSS) team. This role provides regulatory and compliance support to PINE’s registered investment adviser clients in a fast-paced, team-oriented environment.

Key Responsibilities

• Support and assist PINE’s registered investment adviser clients by providing regulatory and compliance support.
• Support oversight of registered investment adviser compliance matters.
• Assist in the development of registered investment adviser risk assessment and risk analysis programs.
• Assist with annual reviews in accordance with Rule 206(4)-7 of the Investment Advisers Act of 1940.
• Assist in establishing and/or updating required items for a registered investment adviser, including an ongoing compliance calendar, compliance manual, and code of ethics.
• Assist with the preparation and filing of periodic, annual, and ongoing regulatory filings (e.g., Form ADV, Form PF, 13F, 13D/G, 13H).
• Conduct periodic and annual employee compliance training.
• Assist with annual reviews of key vendors (e.g., administrators, transfer agents, fund distributors, auditors, prime brokers).
• Conduct quarterly forensic compliance program testing, including ongoing reviews based on clients’ written policies and procedures.
• Assist with regulatory examinations of clients’ compliance programs conducted by regulatory authorities (e.g., SEC, NFA, state securities boards).
• Assist in the development/maintenance of compliance policies and procedures, as well as the design/maintenance of the compliance program.
• Maintain awareness of industry regulatory developments and assist in developing updated policies for registered investment advisers.
• Provide support to Registered Fund CCO Support services as needed.

Requirements & Tech Stack

• Proficiency in MS Office, including Excel, PowerPoint, and Word.

Qualifications

• Bachelor’s degree in finance, business, economics, accounting, or a related field required.
• Relevant coursework in securities regulation, business law, or financial markets is a plus.
• 0-2 years of experience (including internships) in a regulatory, compliance, or finance-related field, preferably within the investment management industry.
• Excellent written and verbal communication skills, with the ability to clearly convey complex information.
• Collaborative team member with strong interpersonal skills and a positive, solution-oriented approach.
• Demonstrated ability to build and maintain effective relationships with colleagues and clients.
• Strong interest in learning about compliance and regulatory matters affecting the operations and governance of investment advisers, pooled investment vehicles, and registered mutual funds.
• Familiarity with the Investment Advisers Act of 1940, Investment Company Act of 1940, Regulation D, and other SEC, FINRA, and NFA laws and regulations that affect asset managers is a plus.

Work Model

• Hybrid: Working from the Denver office 2-5 days/week.

Compensation & Benefits

• Salary: $55,000 - $65,000. Actual compensation will be determined based on experience, qualifications, and other job-related factors.
• May be eligible for discretionary bonus compensation.
• Health Insurance: 100% cost coverage for employees.
• 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.
• 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.