Position Overview
PINE Advisor Solutions, a Centralis company, is seeking multiple entry-level Associates to join our Adviser Compliance Support Services (ACSS) team. These individuals 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 motivated early-career professionals with a degree in finance, business, economics, or a related field to build their expertise in investment adviser regulation and gain hands-on exposure to compliance operations.
About PINE
PINE Advisor Solutions ("PINE"), a Centralis company, 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 candidates 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
Support oversight of registered investment adviser compliance matters
Assist in the development of registered investment adviser risk assessment and risk analysis programs
Assist with annual reviews in accordance with Rule 206(4)-7 of the Investment Advisers Act of 1940
Assist in establishing and/or updating 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
Assist with 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 Registered Fund CCO Support services as needed
Qualifications
Bachelor’s degree in finance, business, economics, accounting, or a related field required; relevant coursework in securities regulation, business law, or financial markets is a plus
0-2 years of experience (including internships) in a regulatory, compliance, or finance-related field, preferably within the investment management industry
Proficiency in MS Office, including Excel, PowerPoint, and Word
Excellent written and verbal communication skills, with the ability to clearly convey complex information
Collaborative team member with strong interpersonal skills and a positive, solution-oriented approach
Demonstrated ability to build and maintain effective relationships with colleagues and clients
Strong interest in learning about compliance and regulatory matters affecting the operations and governance of investment advisers, pooled investment vehicles and registered…