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, focusing on governance, risk controls, and regulatory frameworks.
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