Job Description

Position Overview:

PINE Advisor Solutions ("PINE") is a dynamic organization that provides institutional-quality, outsourced solutions for funds and investment managers. The PINE team is driven by the belief that we are contributing to something remarkable. We are currently seeking a qualified candidate who can excel within our synergetic & innovative atmosphere.

PINE's rapid growth and success are a direct outcome of prioritizing our clients. We are in search of a highly motivated Compliance Consultant to join our Fund Chief Compliance Officer Services team on our upward trajectory. The ideal candidate will be motivated by a passion for learning and contributing, adept at managing multiple tasks with a keen attention to detail and committed to embracing our inclusive "all for one and one for all" culture.

The Compliance Consultant will support and assist PINE’s registered fund clients and the greater Fund CCO Team by supporting the implementation of registered fund compliance programs including providing oversight over fund investment advisers and other service providers.

Responsibilities:

• Assist in the preparation of 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

Qualifications:

• 1-3 years of experience in the compliance, risk, audit or investment management space
• Minimum of 4-year college degree ( Required )
• Excellent written and verbal skills are essential
• Proficient in the use of MS Office: strong knowledge of Excel, PowerPoint and Word ( Required )
• Project management skills and ability to utilize project management programs such as ClickUp
• Ability to multi-task and a willingness to accept tasks 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 strong interpersonal skills
• Experience with compliance and regulatory matters affecting the operations and governance of investment advisers, pooled investment vehicles and registered mutual funds ( Highly preferred )
• Knowledge of the Investment Advisers Act of 1940, Investment Company Act of 1940 and other laws and regulations that affect asset managers ( Highly preferred )

Salary Range : $55,000 – $70,000 based on experience

Hybrid Work Model

• 3 days in office required
• 5 days may be required during initial 90-day training period

What You Can Expect From PINE

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.

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.

Benefits and Perks

Health Insurance – we cover 100% of the cost for Employees!

A comprehensive selection of EPO, PPO, and HMO medical, dental, and vision health plans

Paid parental leave

Life and disability insurance

401(k) Savings Plan

Unlimited Vacation Policy

Quarterly Offsite Team Events

Office Snacks & Frequent Catered Team Lunches

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, age, sex, national origin, disability status, genetics, protected veteran status, sexual orientation, gender identity or expression, or any other characteristic protected by 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.

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