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Financial Services

Fund Chief Compliance Officer, Compliance Director

Denver, COHybridFull TimeChief / Executive$150,000–$200,000 /yrPosted 1 day ago

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Required skills

  • Fund Chief Compliance Officer
  • CCO
  • AML Compliance Officer
  • 1940 Act
  • Rule 38a-1
  • registered funds
  • mutual funds
  • ETFs
  • interval funds
  • multi-sub-adviser funds

Nice to have

  • JD
  • business development
  • industry events

Role summary

PINE Advisor Solutions is seeking an experienced Fund Chief Compliance Officer (CCO) to serve as the named CCO and AML Compliance Officer for registered fund clients. This role involves managing complex client relationships, overseeing compliance programs, presenting to fund boards, and managing regulatory examinations. The ideal candidate will have at least 15 years of compliance experience in asset management, with a focus on registered funds and direct CCO experience. Responsibilities include designing and performing control testing, managing a team of compliance professionals, and contributing to business development for the Fund CCO service line. The position offers a hybrid work model, with preferred office presence in Denver.

Position Overview

PINE Advisor Solutions, a Centralis Company, is seeking an experienced Fund Chief Compliance Officer (CCO) to join our Fund CCO Services team. This individual will serve as named Fund CCO and AML Compliance Officer for PINE’s 1940 Act clients, owning several complex, high-profile client relationships across structures such as mutual funds, ETFs, interval funds and multi-sub-adviser funds.

In this role, you will lead each client’s compliance program on behalf of fund boards, ensuring it is effective, well documented and examination-ready, and oversee the advisers and service providers that support it. You will also serve as a senior relationship contact for clients, fund counsel and service providers, present significant matters to fund boards, manage and develop a team of Associates and Associate Directors, and help grow the Fund CCO service line.

This is a strong opportunity for a seasoned, board-facing compliance leader to step into a client-facing leadership role with visibility across PINE’s fund relationships and the direction of the service line.

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:

  • Immediately serve as named Fund Chief Compliance Officer and Anti-Money Laundering Compliance Officer for multiple 1940 Act registered fund clients, stepping into CCO mandates from day one
  • Own multiple client relationships, under PINE’s outsourced model, serving as an embedded partner and senior relationship contact for clients, fund legal teams and service providers
  • Present to fund boards, including in executive session, and prepare the annual Rule 38a-1 report and other CCO reports to the board
  • Review, at least annually, the adequacy and effectiveness of the compliance policies, procedures and risk assessments of each fund and its service providers, including advisers, sub-advisers, administrators, principal underwriters and transfer agents
  • Design, perform and document testing of key controls, including reviewing reports, investigating exceptions, assessing conflicts and making inquiries of fund management and service providers
  • Serve as the point of contact for SEC examinations and manage regulatory examinations of client compliance programs, including SEC, NFA and state examinations
  • Act as technical lead on complex fund events, such as launches, reorganizations and liquidations, and on complex interpretive questions; draft and review the most complex policies
  • Review registration documents and guide clients and service providers on regulatory requirements and industry best practices
  • Report any potential or perceived violations of applicable laws, rules or policies to client and PINE senior management
  • Conduct on-site and virtual visits to advisers and other service providers (traveling to client locations approximately 25% of the time)
  • Manage a team of Fund Compliance professionals, including hiring, coaching, 1:1s and performance management, and own the team’s processes and quality of work
  • Lead business development for the Fund CCO service line and represent PINE at industry events
  • Other tasks, special projects and duties as assigned

    • Qualifications:

  • Bachelor’s degree required; advanced degree (such as a JD or MBA) preferred
  • 15+ years of compliance experience in the asset management industry, with a focus on registered funds
  • Recent experience serving as named Chief Compliance Officer for registered funds or trusts is a must
  • Expert knowledge of the Investment Company Act of 1940, including Rule 38a-1, as well as the Securities Act of 1933, the Securities Exchange Act of 1934 and SEC rulemaking affecting registered funds
  • Deep expertise across registered fund structures, including open-end funds, ETFs, interval funds, closed-end funds and BDCs, and fund events from launch to liquidation
  • Demonstrated experience presenting to fund boards, including in executive session, and working directly with fund counsel, senior client management and service providers
  • Experience leading SEC examinations of registered fund compliance programs
  • Strong people management experience, including hiring, coaching and performance management
  • Excellent verbal, written and presentation skills, including the ability to handle challenging conversations with boards and senior management
  • Proficiency in Microsoft Office, including Excel, PowerPoint and Word

    • Work Model (Hybrid Preferred, Open to Remote)

  • Candidates who can work out of our Denver office 2–3 days per week are preferred
  • We are open to hiring remote employees located anywhere in the US with prior Fund CCO experience
  • Periodic travel to Denver will be expected for remote hires
  • This role includes travel of up to 25% to client and service provider sites

    • Salary: $150,000 - $200,000

    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.

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