Position Overview
PINE Advisor Solutions, a Centralis Company, is seeking a Fund Compliance Associate to join our Fund CCO Services team. This individual will support our Fund Chief Compliance Officers (CCOs) in managing compliance programs for registered funds, such as mutual funds, closed-end funds and ETFs, including CCO reports to fund boards, Rule 38a-1 policy reviews, service provider due diligence, risk assessments and compliance calendars.
In this role, you will work closely with the Fund CCO Services team on behalf of our fund clients, owning routine client deliverables from start to finish and supporting work on more complex clients, while ensuring accuracy and timeliness. You will also correspond with clients and service providers and take minutes in client and due diligence meetings, gaining hands-on exposure to how registered funds are governed and overseen.
This is a strong opportunity for a curious, detail-oriented professional, including recent graduates, to step into a client-facing compliance role with visibility across fund governance, risk controls and regulatory frameworks.
About PINE
PINE Advisor Solutions ("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:
Assist in preparing Chief Compliance Officer (CCO) reports for registered fund boards
Support annual policy and procedure reviews under Rule 38a-1 of the Investment Company Act of 1940
Help draft and maintain key compliance documents for registered funds, including compliance calendars, compliance manuals and codes of ethics
Prepare due diligence notes and support annual reviews of fund service providers, including investment advisers and sub-advisers, administrators, transfer agents, distributors and custodians
Help develop and maintain registered fund risk assessments
Track deliverables and deadlines across assigned clients in our project management system
Correspond with clients and service providers
Research regulatory questions and stay current on developments affecting registered funds, flagging issues and asking questions when something doesn’t look right
Assist with SEC examinations of client compliance programs, including document production
Support Fund CCO department projects and initiatives as needed
Required Qualifications:
Bachelor’s degree in Finance, Accounting, Business, Economics or a related field
0–2 years of experience in finance, investment operations, compliance, audit or a related area; recent graduates with relevant coursework or internships are encouraged to apply
Strong interest in registered fund compliance and regulation, and eagerness to learn, ask questions and apply feedback
Strong attention to detail and the ability to manage multiple deadlines
Strong Excel skills and proficiency in Word and the rest of Microsoft Office
Clear written and verbal communication skills
Logical, resourceful approach to solving problems, with good judgment about when to escalate
Takes ownership of assigned work and stays solution-oriented when things don’t go as planned
Team-oriented and collaborative, with the ability to build working relationships with colleagues and clients
Preferred Qualifications:
Familiarity with the Investment Company Act of 1940, Securities Act of 1933 and Securities Exchange Act of 1934, or with fund filings such as Form N-1A, N-CSR, N-PORT and N-CEN
Exposure to registered investment companies (mutual funds, ETFs) or fund service providers such as…