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Financial Services

Fund Compliance Associate

Denver, COHybridFull Time$55,000–$65,000 /yrPosted 15 hours ago

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Required skills

  • registered funds
  • mutual funds
  • ETFs
  • CCO reports
  • Rule 38a-1
  • service provider due diligence
  • risk assessments
  • compliance calendars
  • compliance manuals
  • codes of ethics

Nice to have

  • registered investment companies
  • fund filings

Role summary

PINE Advisor Solutions is seeking a Fund Compliance Associate to support Chief Compliance Officers in managing compliance programs for registered funds (mutual funds, ETFs). Responsibilities include preparing CCO reports, reviewing policies, conducting service provider due diligence, performing risk assessments, and tracking compliance calendars. The role involves client and service provider correspondence, minute-taking, and assisting with SEC examinations. This position offers a strong opportunity for individuals, including recent graduates, to gain experience in fund governance, risk controls, and regulatory frameworks within a client-facing compliance role. The ideal candidate is detail-oriented, eager to learn, and possesses strong Excel and communication skills.

Position Overview

PINE Advisor Solutions, a Centralis Company, is seeking a Fund Compliance Associate to join our Fund CCO Services team. This individual will support our Fund Chief Compliance Officers (CCOs) in managing compliance programs for registered funds, such as mutual funds, closed-end funds and ETFs, including CCO reports to fund boards, Rule 38a-1 policy reviews, service provider due diligence, risk assessments and compliance calendars.

In this role, you will work closely with the Fund CCO Services team on behalf of our fund clients, owning routine client deliverables from start to finish and supporting work on more complex clients, while ensuring accuracy and timeliness. You will also correspond with clients and service providers and take minutes in client and due diligence meetings, gaining hands-on exposure to how registered funds are governed and overseen.

This is a strong opportunity for a curious, detail-oriented professional, including recent graduates, to step into a client-facing compliance role with visibility across fund governance, risk controls and regulatory frameworks.

About PINE

PINE Advisor Solutions ("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 preparing Chief Compliance Officer (CCO) reports for registered fund boards
  • Support annual policy and procedure reviews under Rule 38a-1 of the Investment Company Act of 1940
  • Help draft and maintain key compliance documents for registered funds, including compliance calendars, compliance manuals and codes of ethics
  • Prepare due diligence notes and support annual reviews of fund service providers, including investment advisers and sub-advisers, administrators, transfer agents, distributors and custodians
  • Help develop and maintain registered fund risk assessments
  • Track deliverables and deadlines across assigned clients in our project management system
  • Correspond with clients and service providers
  • Research regulatory questions and stay current on developments affecting registered funds, flagging issues and asking questions when something doesn’t look right
  • Assist with SEC examinations of client compliance programs, including document production
  • Support Fund CCO department projects and initiatives as needed

    • Required Qualifications:

  • Bachelor’s degree in Finance, Accounting, Business, Economics or a related field
  • 0–2 years of experience in finance, investment operations, compliance, audit or a related area; recent graduates with relevant coursework or internships are encouraged to apply
  • Strong interest in registered fund compliance and regulation, and eagerness to learn, ask questions and apply feedback
  • Strong attention to detail and the ability to manage multiple deadlines
  • Strong Excel skills and proficiency in Word and the rest of Microsoft Office
  • Clear written and verbal communication skills
  • Logical, resourceful approach to solving problems, with good judgment about when to escalate
  • Takes ownership of assigned work and stays solution-oriented when things don’t go as planned
  • Team-oriented and collaborative, with the ability to build working relationships with colleagues and clients

    • Preferred Qualifications:

  • Familiarity with the Investment Company Act of 1940, Securities Act of 1933 and Securities Exchange Act of 1934, or with fund filings such as Form N-1A, N-CSR, N-PORT and N-CEN
  • Exposure to registered investment companies (mutual funds, ETFs) or fund service providers such as administrators, transfer agents or custodians
  • SIE or CAMS certification, or interest in pursuing one

    • Hybrid Work Model

  • This position follows a hybrid work schedule, working from our Denver office 2-3 days/week

    • Salary: $55,000 - $65,000

    Actual compensation will be determined based on experience, qualifications, and other job-related factors. This position may also be eligible for discretionary bonus compensation.

    Employee 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

    • What You Can Expect From PINE

    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.

    • 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.

    • 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, sex (including pregnancy), age, national origin, disability status, genetic information, protected veteran status, sexual orientation, gender identity or expression, or any other characteristic protected by applicable 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.

    This position is expected to remain open for approximately two weeks. The posting may close sooner if the position is filled or if a sufficient number of qualified applicants are received.

    Ready to apply?
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