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← PINE Advisor Solutions

Director of Investment Adviser Compliance

PINE Advisor Solutions
Location
Denver, CO
Posted
11 days ago
Department
Adviser Compliance Support Services
What they actually want (must-haves)
  • 10+ years in investment advisory compliance consulting or in-house
  • Prior experience as an RIA CCO
  • Bachelor's degree required
  • Deep expertise in Advisers Act, Investment Company Act, SEC regulations
  • Excellent written/verbal communication and presentation skills
  • Strong interpersonal skills with the ability to build effective working relationships
Nice to have
  • MBA or JD preferred
  • Specific experience in asset management, hedge funds, private equity a plus
  • Compliance certifications like IACCP or CCEP preferred
  • Existing network and business development experience
  • NFA/CFTC experience is a plus
What the job really is

The Director of Investment Adviser Compliance at PINE Advisor Solutions will oversee compliance programs for investment adviser clients, managing multiple accounts and providing guidance on SEC regulations. This role involves leading a team, conducting compliance reviews, and representing clients during SEC examinations. The position emphasizes client service, relationship management, and continuous improvement of compliance processes.

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
Things to weigh
  • Candidates are preferred to work in the Denver office 3-5 days a week, but remote work is an option for the right fit
  • Some periodic travel to Denver will be expected for remote hires
  • Salary range is provided, but actual compensation will depend on experience and qualifications
Job score3.4/5
Benefits3/5
Freshness5/5
Career value4/5
Role clarity5/5
Pay transparency0/5

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