Fund Compliance Associate | Early Career (1–3 yrs) | Denver Hybrid

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, with responsibilities including oversight of investment advisers and maintaining compliance policies.

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