Jobs at PINE Advisor Solutions

Supports adviser compliance operations by administering compliance platforms, monitoring broker data feeds, reconciling transactions and holdings, testing employee trades, preparing reports, and maintaining regulatory records. Identifies repetitive work, builds AI-assisted workflows, develops dashboards, documents processes, trains users, and measures automation impact. The role requires strong Excel skills, attention to detail, communication, problem-solving, and interest in investment adviser compliance.

Provides regulatory and compliance support to registered investment adviser clients. Responsibilities include assisting with annual reviews, risk assessments, compliance policies, regulatory filings, employee training, vendor reviews, forensic testing, and regulatory examinations. The role also supports compliance program maintenance and monitoring of SEC, NFA, and state requirements while developing expertise in investment adviser regulation.

Oversee compliance programs for registered funds, including CCO reports, Rule 38a-1 policy reviews, service-provider due diligence, risk assessments, SEC examination support, and regulatory updates. The role manages client and stakeholder communications, improves compliance workflows, leverages AI and technology, implements scalable processes, and supports onboarding and training for Fund CCO staff.

Supports registered investment adviser clients with regulatory compliance, annual reviews, risk assessments, policy and procedure maintenance, regulatory filings, employee training, vendor reviews, forensic testing, and SEC, NFA, and state examinations. The role also assists with compliance program development and monitoring for investment advisers and registered funds.