PINE Advisor Solutions is a dynamic organization providing outsourced solutions for funds and investment managers. They are seeking a Fund Compliance Associate to support compliance programs for registered funds, focusing on governance, risk controls, and regulatory frameworks.
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
Skills
- 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
- 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
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
Company Overview
Pine Advisor Solutions offers accounting, audit, payroll, private funds, compliance, operations support and investment advisors services. It was founded in 2018, and is headquartered in Denver, Colorado, USA, with a workforce of 51-200 employees. Its website is https://www.pineadvisorsolutions.com/.