Chief Compliance Officer, Compliance Director

🕒 3 dias atrás

🇺🇸 Estados Unidos – Remoto (EUA)

💵 $150.000 - $200.000 / ano

⏰ Tempo Integral

🔴 Especialista

🚔 Conformidade

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PINE Advisor Solutions

SiteLinkedInTodas as Vagas

51 - 200 funcionários

Fundada em 2018

💸 Finanças

📋 Conformidade

🤝 B2B

Finance • Compliance • B2B

A PINE Advisor Solutions é uma empresa terceirizada de serviços para fundos e assessorias de investimentos que oferece suporte operacional, financeiro, de governança e compliance em nível institucional a gestores de ativos e patrocinadores de fundos. A empresa oferece serviços terceirizados de Chief Compliance Officer e programas de compliance, serviços de CFO e supervisão de fund accounting, serviços para officers e governança de fundos, suporte à distribuição e a broker-dealers, além de serviços gerenciados de middle e back office para Registered Funds (fundos mútuos, interval funds e closed-end funds), ETFs e fundos privados. A PINE se posiciona como uma parceira integrada para ampliar operações, simplificar registros e exames regulatórios e apoiar a distribuição de fundos. A empresa oferece suporte a mais de US$ 50 bilhões em ativos sob assessoria, distribuídos em mais de 100 estruturas de fundos. A PINE também é reconhecida como uma empresa Centralis.

Descrição

• Immediately serve as named Fund Chief Compliance Officer and Anti-Money Laundering Compliance Officer for multiple 1940 Act registered fund clients • 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 annually the adequacy and effectiveness of compliance policies, procedures and risk assessments for funds and service providers • Design, perform and document testing of key controls, review reports, investigate exceptions, assess conflicts and make inquiries • Serve as point of contact for SEC examinations and manage SEC, NFA and state examinations of client compliance programs • Act as technical lead on complex fund events, including launches, reorganizations and liquidations, and on complex interpretive questions • Draft and review complex policies • Review registration documents and guide clients and service providers on regulatory requirements and industry best practices • Report potential or perceived violations of applicable laws, rules or policies to clients and PINE senior management • Conduct on-site and virtual visits to advisers and 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 • Lead business development for the Fund CCO service line and represent PINE at industry events • Perform other tasks, special projects and assigned duties

🎯 Requisitos

• 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 • Remote hires must be located in the United States and have prior Fund CCO experience

🏖️ Benefícios

• 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 • Flexible work-from-home options • Opportunities to emerge as a leader and make substantial contributions • Abundant opportunities to learn and hone new skills

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