Associate, Investment Adviser Compliance | Denver Hybrid at PINE Advisor Solutions — Denver, CO

Position Overview 

PINE Advisor Solutions is seeking a Compliance Consultant to join our Adviser Compliance Support Services (ACSS) team. This individual will provide regulatory and compliance support to PINE’s registered investment adviser clients in a fast-paced, team-oriented environment. 

In this role, you will assist clients in meeting regulatory requirements, performing annual reviews, and maintaining compliance programs that align with SEC and state regulations. You will also support the development and maintenance of compliance policies, perform periodic testing, and assist with regulatory filings and examinations. This is an excellent opportunity for a motivated compliance professional to deepen their expertise in investment adviser regulation and gain hands-on exposure to compliance operations. 

About PINE 

PINE Advisor Solutions ("PINE") is a dynamic and 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 

• Support and assist PINE’s registered investment adviser clients by providing regulatory and compliance support 

• Provide oversight of registered investment adviser compliance matters 

• Assist in the development of registered investment adviser risk assessment and risk analysis programs 

• Complete annual reviews in accordance with Rule 206(4)-7 of the Investment Advisers Act of 1940 

• Establish and/or update all required items for a registered investment adviser including an ongoing compliance calendar, compliance manual and code of ethics 

• Assist with the preparation and filing of periodic, annual, and ongoing regulatory filings (Form ADV, Form PF, 13F, 13D/G, 13H, etc.) 

• Conduct periodic and annual employee compliance training  

• Conduct annual reviews of key vendors including administrators, transfer agents, fund distributors, auditors, prime brokers, etc. 

• Conduct quarterly forensic compliance program testing, including performing ongoing reviews based on the clients’ written policies and procedures 

• Assist with regulatory examinations of clients’ compliance programs conducted by regulatory authorities, including SEC, NFA and state securities boards 

• Assist in the development/maintenance of compliance policies and procedures as well as the design/maintenance of the compliance program 

• Maintain awareness of industry regulatory developments and assist in developing updated policies for registered investment advisers 

• Provide support to Regist