Fund Chief Compliance Officer, Compliance Director (Fully Remote)

PINE Advisor Solutions; United States; Remote; USD 180,000 - 280,000; Full time

Job summary

PINE Advisor Solutions in the United States seeks a senior Fund CCO and AML Officer to oversee compliance for multiple 1940 Act clients, including mutual funds, ETFs, interval funds, and multi-sub-adviser funds.

You will lead the client compliance programs, present to fund boards, prepare Rule 38a-1 reports, manage SEC examinations, mentor a team of professionals, and drive business development for the Fund CCO service line.

Qualifications

• Lead compliance programs for 1940 Act funds (mutual funds, ETFs, interval funds).
• Present to fund boards and prepare Rule 38a-1 reports.
• Oversee and develop a team of compliance professionals.

Responsibilities

• Lead compliance programs for multiple 1940 Act clients.
• Present to fund boards and prepare Rule 38a-1 reports.
• Manage SEC examinations and inquiries.
• Develop business for the Fund CCO service line.

Skills

Fund compliance

AML compliance

Board presentations

Leadership

Job description

• Serve as named Fund CCO and AML Officer for multiple 1940 Act clients, owning complex relationships across mutual funds, ETFs, interval funds, and multi-sub-adviser funds.
• Lead each client's compliance program, present to fund boards, prepare Rule 38a-1 reports, and manage SEC examinations.
• Manage and develop a team of compliance professionals and drive business development for the Fund CCO service line.