Fund Compliance Associate | Early Career (1-3 yrs) | Denver Hybrid
Position Overview
PINE Advisor Solutions is looking for a Fund Compliance Associate to join our Fund Chief Compliance Officer (CCO) Services team. This role is perfect for early-career professionals with a background in finance or investment management who are eager to support compliance programs for registered funds (mutual funds, ETFs etc.).
As a Fund Compliance Consultant, you'll support the implementation of fund compliance programs, including oversight of investment advisers and key service providers. You'll gain hands-on exposure to the infrastructure that governs registered funds, developing a strong foundation in fund governance, risk controls, and regulatory frameworks to support long-term growth and advancement within the investment management industry.
About PINE
PINE Advisor Solutions ("PINE") 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.
Responsibilities:
• Assist in the preparation of Chief Compliance Officer (CCO) reports for registered fund boards
• Complete annual policy and procedure reviews in accordance with Rule 38a-1 of the Investment Company Act of 1940
• 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
• Assist in the development/maintenance of compliance policies and procedures
• Maintain awareness of regulatory developments and assist in developing updated policies for implemented rules impacting registered funds
• Develop and maintain registered fund risk assessments and risk analysis programs
• Support department projects and initiatives as needed
Required Qualifications:
• Bachelor's degree in Finance, Accounting, Business, or related field
• 1-3 years of experience in finance, investment operations, compliance, audit, or related area
• Proficiency in Microsoft Office, especially Excel and Word
• Excellent analytical, organizational, and written communication skills
• Project management skills and ability to utilize project management programs (ie ClickUp)
• Ability to build and maintain effective working relationships with colleagues and clients, with a team-oriented and collaborative approach
Preferred Qualifications:
• Experience with registered investment companies (mutual funds, ETFs)
• Knowledge of the Investment Advisers Act of 1940, Investment Company Act of 1940 and other laws and regulations that affect asset managers
• Familiarity with fund service providers such as fund administrators, transfer agents, or custodians
Work Model (Hybrid)
• This position follows a hybrid work schedule, working from our Denver office 3 days/week
• 5 days in the office may be required during the initial training period
Salary: $60,000 - $80,000
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 - we cover 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
• We 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 Leader
• At 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 Learning
• We 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
PINE Advisor Solutions is looking for a Fund Compliance Associate to join our Fund Chief Compliance Officer (CCO) Services team. This role is perfect for early-career professionals with a background in finance or investment management who are eager to support compliance programs for registered funds (mutual funds, ETFs etc.).
As a Fund Compliance Consultant, you'll support the implementation of fund compliance programs, including oversight of investment advisers and key service providers. You'll gain hands-on exposure to the infrastructure that governs registered funds, developing a strong foundation in fund governance, risk controls, and regulatory frameworks to support long-term growth and advancement within the investment management industry.
About PINE
PINE Advisor Solutions ("PINE") 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.
Responsibilities:
• Assist in the preparation of Chief Compliance Officer (CCO) reports for registered fund boards
• Complete annual policy and procedure reviews in accordance with Rule 38a-1 of the Investment Company Act of 1940
• 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
• Assist in the development/maintenance of compliance policies and procedures
• Maintain awareness of regulatory developments and assist in developing updated policies for implemented rules impacting registered funds
• Develop and maintain registered fund risk assessments and risk analysis programs
• Support department projects and initiatives as needed
Required Qualifications:
• Bachelor's degree in Finance, Accounting, Business, or related field
• 1-3 years of experience in finance, investment operations, compliance, audit, or related area
• Proficiency in Microsoft Office, especially Excel and Word
• Excellent analytical, organizational, and written communication skills
• Project management skills and ability to utilize project management programs (ie ClickUp)
• Ability to build and maintain effective working relationships with colleagues and clients, with a team-oriented and collaborative approach
Preferred Qualifications:
• Experience with registered investment companies (mutual funds, ETFs)
• Knowledge of the Investment Advisers Act of 1940, Investment Company Act of 1940 and other laws and regulations that affect asset managers
• Familiarity with fund service providers such as fund administrators, transfer agents, or custodians
Work Model (Hybrid)
• This position follows a hybrid work schedule, working from our Denver office 3 days/week
• 5 days in the office may be required during the initial training period
Salary: $60,000 - $80,000
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 - we cover 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
• We 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 Leader
• At 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 Learning
• We 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