Chief Compliance Officer, Compliance Director

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🔥 3 minutes ago

🇺🇸 United States – Remote

💵 $150k - $200k / year

⏰ Full Time

🔴 Lead

🚔 Compliance

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PINE Advisor Solutions

WebsiteLinkedInAll Job Openings

51 - 200 employees

Founded 2018

💸 Finance

📋 Compliance

🤝 B2B

Finance • Compliance • B2B

PINE Advisor Solutions is an outsourced fund and advisory-services firm that provides institutional-quality operational, financial, governance and compliance support to asset managers and fund sponsors. The company delivers outsourced Chief Compliance Officer and compliance programs, outsourced CFO and fund accounting oversight, fund officer and governance services, distribution and broker-dealer support, and middle- and back-office managed services for Registered Funds (mutual, interval, closed-end), ETFs, and private funds. PINE positions itself as an embedded partner to scale operations, streamline regulatory filings and examinations, and support fund distribution, and supports over $50B in assets under advisement across 100+ fund structures. PINE is also noted as a Centralis company.

📋 Description

• 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

🎯 Requirements

• 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

🏖️ 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 • 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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