PINE Advisor Solutions
Finance / FinServ
AssociateDirector,InvestmentAdvisorCompliance
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“Associate Director, Investment Advisor Compliance at PINE Advisor Solutions. Skills: Investment adviser compliance, Regulatory matters affecting investment advisers, pooled investment vehicles and registered mutual funds, SEC, FINRA, CFTC and NFA laws and regulations. Support and advise PINE’s investment adviser clients by assisting in the oversight and execution of compliance programs for registered investment advisers, registered funds, and private funds.. Work closely with senior team members”
Industry & Context.
What They're Looking For.
Must Have
5+ years of compliance experience in the asset management space, Minimum of 4-year college degree required, Excellent verbal, written and presentation skills are essential, Demonstrated experience with compliance and regulatory matters affecting the operations and governance of investment advisers, pooled investment vehicles and registered mutual funds, Knowledge of the Investment Advisers Act of 1940, Investment Company Act of 1940, Regulation D and other SEC, FINRA, CFTC and NFA laws and regulations that affect asset managers, Proficient in the use of MS Office: knowledge of Excel, PowerPoint and Word required, Ability to multi-task and a willingness to accept any task that will benefit a growing organization, Ability to establish and maintain effective working relationships with employees and clients, Team player with a positive attitude and interpersonal skills
What You'll Do.
Support and advise PINE’s investment adviser clients by assisting in the oversight and execution of compliance programs for registered investment advisers
Work closely with senior team members to deliver regulatory and compliance support
including managing key components of client compliance programs
supporting regulatory filings
and assisting with examinations.
Maintain direct interaction with clients
contributing to relationship management while ensuring high-quality
timely execution of deliverables.
Assist in the development of investment adviser risk assessment and risk analysis programs.
Complete annual reviews in accordance with Rule 206(4)-7 of the Investment Advisers Act of 1940.
Establish and/or update all required items for a registered investment adviser including an ongoing compliance calendar
compliance manual and code of ethics.
Assist with ongoing securities filings (13F
Assist with the preparation and filing of periodic and annual amendments to Form ADV.
Conduct periodic and annual employee training.
Conduct annual reviews of key vendors.
Conduct quarterly forensic compliance program testing
including performing ongoing reviews based on the clients’ written policies and procedures.
Assist with regulatory examinations of clients’ compliance programs conducted by regulatory authorities
NFA and state securities boards.
Development/maintenance of compliance policies and procedures as well as the design/maintenance of the compliance program.
Manage and oversee marketing review.
Keep abreast of new rules and regulations and how it effects our clients.
How You'll Work.
Team & Collaboration
Work closely with senior team members to deliver regulatory and compliance support.; Establish and maintain effective working relationships with employees and clients.; Team player with a positive attitude and interpersonal skills.
Communication Scope
Excellent verbal, written and presentation skills are essential
Full Job Description
Job Overview PINE Advisor Solutions (“PINE”) is seeking an Associate Director of Investment Adviser Compliance to join our Adviser Compliance Support Services (“ACSS”) team. This individual will support and advise PINE’s investment adviser clients by assisting in the oversight and execution of compliance programs for registered investment advisers, registered funds, and private funds. In this role, you will work closely with senior team members to deliver regulatory and compliance support, including managing key components of client compliance programs, supporting regulatory filings, and assisting with examinations. You will also maintain direct interaction with clients, contributing to relationship management while ensuring high-quality, timely execution of deliverables. This is a strong opportunity for a detail-oriented compliance professional to step into a client-facing role with increasing responsibility across a broad range of regulatory matters. The ideal candidate will be proactive, adaptable, and motivated to deepen their expertise in investment adviser compliance within a dynamic and growing organization. About PINE 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 development of investment adviser risk assessment and risk analysis programs Complete annual reviews in accordance with Rule 206(4)-7 of the Investment Advisers Act of 1940 Establish and/or update all required items for a
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