Quinte West, Ontario, Canada · Hybrid
$60k–$75k/yr
Position Overview PINE Advisor Solutions is seeking a Compliance Consultant to join our Adviser Compliance Support Services (ACSS) team. This individual will provide regulatory and compliance support to PINE’s registered…
Skills: Regulatory Compliance, Risk Assessment, SEC Regulations, Investment Advisers Act of 1940, Regulatory Filings
Quinte West, Ontario, Canada • Hybrid
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Provide regulatory and compliance support to registered investment adviser clients, including performing annual reviews and maintaining compliance programs. Assist with regulatory filings, forensic testing, and the development of compliance policies and procedures.
Requires a Bachelor's degree and 1-5 years of experience in regulatory compliance, preferably within the investment management industry. Proficiency in MS Office and knowledge of SEC, FINRA, and NFA regulations are highly preferred.
Position Overview
PINE Advisor Solutions is seeking a Compliance Consultant to join our Adviser Compliance Support Services (ACSS) team. This individual 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 a motivated compliance professional to deepen their expertise in investment adviser regulation and gain hands-on exposure to compliance operations.
About PINE
PINE Advisor Solutions ("PINE") 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 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
Qualifications
Work Model (Hybrid)
Salary: $60,000 - $75,000
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
What You Can Expect From PINE
Work-life Balance
Be a Leader
Experience an Environment of Learning
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.
Institutional-quality outsourced CFO, regulatory compliance, fund/advisor launch and operations support services.
PINE Advisor Solutions provides institutional-quality outsourced CFO, regulatory compliance, registered fund officers, fund distribution and operations support services to private funds, mutual funds, exempt and registered investment advisers. Our founders have managed the critical non-investment functions in the alternative and registered fund space. PINE’s founders have served as Chief Financial Officers, Chief Compliance Officers and Chief Operating Officers for both large and boutique investment firms. Services Offered: *Private Fund CFO Services *Adviser Compliance Support *Registered Fund Officers *Fund Distribution *Operations Support For more information on PINE Advisor Solutions please visit www.pineadvisorsolutions.com.
Offices: 501 S Cherry Street, Denver, CO 80246, US
Institutional-quality outsourced CFO, regulatory compliance, fund/advisor launch and operations support services.
PINE Advisor Solutions provides institutional-quality outsourced CFO, regulatory compliance, registered fund officers, fund distribution and operations support services to private funds, mutual funds, exempt and registered investment advisers. Our founders have managed the critical non-investment functions in the alternative and registered fund space. PINE’s founders have served as Chief Financial Officers, Chief Compliance Officers and Chief Operating Officers for both large and boutique investment firms. Services Offered: *Private Fund CFO Services *Adviser Compliance Support *Registered Fund Officers *Fund Distribution *Operations Support For more information on PINE Advisor Solutions please visit www.pineadvisorsolutions.com.
Offices: 501 S Cherry Street, Denver, CO 80246, US
