PINE Advisor Solutions
Finance / FinServ
DirectorofInvestmentAdvisorCompliance
“Director of Investment Advisor Compliance at PINE Advisor Solutions. Skills: Investment advisory compliance, SEC regulations, Risk management, Client-facing leadership. Serve as the outsourced CCO for RIAs. Manage multiple client accounts across a variety of investment strategies”
What You'll Achieve.
Overseeing compliance programs for registered investment advisers, registered funds, and private funds; Managing multiple client accounts; Guiding and mentoring team; Delivering compliant programs for SEC-registered advisers; Advising clients on regulatory best practices; Developing key compliance work products; Performing annual 206(4)-7 reviews; Conducting forensic testing and ongoing compliance monitoring; Assisting with regulatory filings; Representing clients in SEC examinations and enforcement; Developing action plans and responses; Identifying opportunities to enhance compliance services and add value for clients; Participating in business development initiatives
Industry & Context.
Solving complex regulatory challenges; Make independent judgments on matters of significance
Periodic travel to Denver will be expected for remote hires
What They're Looking For.
Must Have
10+ years in investment advisory compliance consulting or in-house, Prior experience as an RIA CCO, Deep expertise in Advisers Act, Investment Company Act, SEC regulations, Bachelor's degree required
Nice to Have
Specific experience in asset management, hedge funds, private equity a plus, Compliance certifications like IACCP or CCEP preferred, Existing network and business development experience, NFA/CFTC experience is a plus, MBA or JD preferred
What You'll Do.
Serve as the outsourced CCO for RIAs
Manage multiple client accounts across a variety of investment strategies
Provide guidance on Advisers Act
Lead a team in delivering compliant programs for SEC-registered advisers
Conduct regularly scheduled calls and meetings to advise clients on regulatory best practices
Oversee development of key compliance work products: written policies and procedures
Perform annual 206(4)-7 reviews examining adviser's policies
Conduct forensic testing and ongoing compliance monitoring based on risk assessments
Assist with regulatory filings such as Form ADV
and fund compliance questionnaires
Represent clients in SEC examinations and enforcement
Develop action plans and responses
Identify opportunities to enhance compliance services and add value for clients
Participate in business development initiatives
Stay current on regulations and compliance
Pursue continuing education
Embrace new initiatives and continuously enhance internal processes and workflow
How You'll Work.
Team & Collaboration
Leverage excellent communication, collaboration, client service and relationship management skills to guide and mentor team; Provide coaching and development opportunities; Ability to collaborate with colleagues, clients, and junior team members
Communication Scope
Excellent written/verbal communication; Presentation skills
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