Director of Investment Adviser Compliance

Position Overview:

PINE Advisor Solutions (“PINE”) is seeking a Director of Investment Adviser Compliance to join our team. The Director will support and advise PINE’s investment adviser clients by overseeing compliance programs for registered investment advisers, registered funds, and private funds. This is a high-impact, client-facing leadership role ideal for an experienced compliance professional who thrives on building relationships, solving complex regulatory challenges, and leading engagements across a dynamic client base. The ideal candidate will bring strong judgment, deep knowledge of applicable SEC regulations, and a proactive mindset toward managing risk and regulatory obligations.

About PINE:

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

Serve as the outsourced CCO for RIAs, managing multiple client accounts across a variety of investment strategies. Provide guidance on Advisers Act, ICA, SEC regulations

Leverage excellent communication, collaboration, client service and relationship management skills to guide and mentor team members; provide coaching and development opportunities

Lead a team in delivering compliant programs for SEC-registered advisers

Conduct regularly scheduled calls and meetings to advise clients on regulatory best practices

Oversee development of key compliance work products: written policies and procedures, risk assessments, compliance manuals, codes of ethics, compliance calendars

Perform annual 206(4)-7 reviews examining adviser's policies, procedures, and documentation

Conduct forensic testing and ongoing compliance monitoring based on risk assessments

Assist with regulatory filings such as Form ADV, Form PF, 13F, and fund compliance questionnaires

Represent clients in SEC examinations and enforcement actions; develop action plans and responses

Identify opportunities to enhance compliance services and add value for clients

Participate in business development initiatives, conference speaking, and client meetings

Exercise discretion and make independent judgments on matters of significance

Thrive in a fast-paced small team environment

Stay current on regulations and compliance trends; pursue continuing education

Embrace new initiatives and continuously enhance internal processes and workflow

Qualifications

10+ years in investment advisory compliance consulting or in-house

Prior experience as an RIA CCO

Bachelor's degree required, MBA or JD preferred

Deep expertise in Advisers Act, Investment Company Act, SEC regulations

Specific experience in asset management, hedge funds, private equity a plus

Compliance certifications like IACCP or CCEP preferred

Excellent written/verbal communication and presentation skills

Lead calls and draft responses during SEC examinations and enforcement actions

Existing network and business development experience

Speak at industry conferences; author compliance articles

Flexibility to work independently and in a team environment

Dedication to ethics, integrity, and client service

NFA/CFTC experience is a plus

Strong interpersonal skills with the ability to build effective working relationships

Ability to collaborate with colleagues, clients, and junior team members

Location/Remote Work

Candidates who can work out of our Denver office 3-5 days per week are preferred, However, we are open to hiring remote employees located anywhere in the US with investment compliance experience for the right fit

Please indicate your location and remote work interest in your application.

Some periodic travel to Denver will be expected for remote hires

Salary Range : $150,000 - $180,000

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.