Fund Compliance, Associate Director

Job description

**Position Overview** PINE Advisor Solutions, a Centralis Company, is seeking a Fund Compliance Associate Director to join our Fund Chief Compliance Officers (CCO) Services team. This role supports PINE’s registered fund clients by providing regulatory and compliance oversight across registered funds, investment advisers, and key fund service providers. The ideal candidate brings functional knowledge of the Investment Company Act of 1940, a strong understanding of the mutual fund ecosystem, and the ability to apply that knowledge in a practical, client-facing environment. This individual will also be expected to leverage technology and AI-enabled tools, lead projects, and help drive scalable, sustainable process efficiencies across the Fund CCO Services platform. This is a strong opportunity for a detail-oriented professional to step into a leadership role with visibility across critical fund compliance operations, client service delivery, and operational improvement initiatives. **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. **Key Responsibilities** - Prepare and review CCO reports and other compliance deliverables for complex registered fund structures - Complete annual policy and procedure reviews in accordance with Rule 38a-1 under the Investment Company Act of 1940 - Establish and/or update key compliance program elements for registered funds, including compliance calendars, compliance manuals, and codes of ethics - Conduct annual due diligence reviews of registered fund service providers, including investment advisers, administrators, transfer agents, and distributors - Assist with regulatory examinations of registered fund compliance programs conducted by the SEC and serve as a primary reviewer of examination response materials - Assist in the development, maintenance, and ongoing review of compliance policies and procedures - Stay informed of regulatory developments affecting registered funds and assist in developing and implementing updated policies and controls - Develop and maintain registered fund risk assessment and risk analysis programs - Apply knowledge of the registered fund operating model and service provider landscape to identify compliance risks, operational dependencies, and areas for enhanced oversight - Monitor ongoing communications with fund service providers and ensure appropriate resolution or escalation of issues raised - Leverage AI and emerging technologies to support and enhance research, drafting, review workflows, knowledge management, and compliance oversight, while applying sound judgment, quality control, and firm governance standards - Identify, design, and implement scalable, technology-enabled solutions, including new workflows, data, tools, and processes, that streamline operations, reduce manual effort, and drive long-term quality of outcomes and operational sustainability across compliance programs - Support the development and implementation of onboarding plans and training for new Fund CCO support staff **Qualifications** - Minimum of 5–8 years of experience in compliance, risk management, audit, or the investment management industry - Bachelor’s degree required - Functional knowledge of the Investment Company Act of 1940 and its application to registered fund compliance programs - Strong understanding of the registered fund ecosystem, including key service providers, fund structures, and operational workflows - Prior experience with compliance and regulatory matters affecting investment advisers, pooled investment vehicles, and/or registered mutual funds strongly preferred - Experience managing projects, coordinating multiple stakeholders, and driving initiatives through completion - Ability to identify inefficiencies, recommend practical improvements, and implement sustainable process enhancements - Demonstrated comfort with technology and an interest in using digital tools and AI solutions to improve work quality, scalability, and team effectiveness - Proficiency in Microsoft Office, including strong working knowledge of Excel and Word - Strong analytical, organizational, and time management skills, with the ability to manage multiple priorities in a growing organization - Strong written and verbal communication skills, with the ability to communicate effectively with colleagues, clients, and service providers - Proven ability to build and maintain effective working relationships with colleagues and clients, with a team-oriented and collaborative approach - Experience managing people and/or processes preferred **Work Model (Hybrid)** - This position follows a hybrid work schedule, working from our Denver office 2-3 days/week. 5 days in the office may be required during the initial training period. **Salary:** $80,000 - $120,000 Actual compensation will be determined based on experience, qualifications, and other job-related factors. 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