Fund Chief Compliance Officer, Compliance Director

PINE Advisor Solutions; United States; Remote; USD 250,000 - 300,000; Full time

Job summary

PINE Advisor Solutions seeks an experienced Fund CCO and AML Compliance Officer to support multiple 1940 Act registered fund clients. Lead compliance programs, manage relationships with fund boards and service providers, and supervise a team of fund compliance professionals.

Responsibilities include presenting to boards, coordinating Rule 38a-1 reports, and guiding examinations by SEC/NFA. 25% travel expected. 15+ years in asset management compliance required. JD/MBA preferred.

Qualifications

• Bachelor's degree
• 15+ years of compliance experience in asset management, focused on registered funds
• Recent experience as named Chief Compliance Officer for registered funds or trusts
• Expert knowledge of the Investment Company Act of 1940, Rule 38a-1, Securities Act of 1933 and Securities Exchange Act of 1934
• Experience across open-end funds, ETFs, interval funds, closed-end funds and BDCs
• Experience presenting to fund boards and leading SEC examinations
• Strong people management experience
• Excellent verbal, written and presentation skills

Responsibilities

• Serve as named Fund CCO and AML Compliance Officer for multiple 1940 Act registered fund clients
• Own client relationships as embedded partner and senior contact for clients, fund legal teams and service providers
• Present to fund boards, including executive session, and prepare the annual Rule 38a-1 report
• Review adequacy of compliance policies and risk assessments of funds and service providers
• Design, perform and document testing of key controls and investigate exceptions
• Serve as point of contact for SEC, NFA and state examinations
• Act as technical lead on complex fund events and interpretive questions
• Conduct on-site and virtual visits to service providers (about 25% travel)
• Manage and develop a team of Fund Compliance professionals
• Lead business development for the Fund CCO service line

Skills

Regulatory compliance

People management

Board presentation

Communication skills

Education

Bachelor's degree

Job description

Responsibilities

• Serve as named Fund CCO and AML Compliance Officer for multiple 1940 Act registered fund clients
• Own client relationships as embedded partner and senior contact for clients, fund legal teams and service providers
• Present to fund boards, including executive session, and prepare the annual Rule 38a-1 report
• Review adequacy of compliance policies and risk assessments of funds and service providers
• Design, perform and document testing of key controls and investigate exceptions
• Serve as point of contact for SEC, NFA and state examinations
• Act as technical lead on complex fund events and interpretive questions
• Conduct on-site and virtual visits to service providers (about 25% travel)
• Manage and develop a team of Fund Compliance professionals
• Lead business development for the Fund CCO service line

Requirements

• Bachelor's degree
• 15+ years of compliance experience in asset management, focused on registered funds
• Recent experience as named Chief Compliance Officer for registered funds or trusts
• Expert knowledge of the Investment Company Act of 1940, Rule 38a-1, Securities Act of 1933 and Securities Exchange Act of 1934
• Experience across open-end funds, ETFs, interval funds, closed-end funds and BDCs
• Experience presenting to fund boards and leading SEC examinations
• Strong people management experience
• Excellent verbal, written and presentation skills

Preferred Qualifications

• Advanced degree such as JD or MBA

About the Company

• PINE Advisor Solutions provides institutional-quality outsourced solutions for funds and investment managers.