Fund Chief Compliance Officer, Compliance… at PINE Advisor Solutions

Position Overview

PINE Advisor Solutions, a Centralis Company, is seeking an experienced Fund Chief Compliance Officer (CCO) to join our Fund CCO Services team. This individual will serve as named Fund CCO and AML Compliance Officer for PINE’s 1940 Act clients, owning several complex, high-profile client relationships across structures such as mutual funds, ETFs, interval funds and multi-sub-adviser funds.

In this role, you will lead each client’s compliance program on behalf of fund boards, ensuring it is effective, well documented and examination-ready, and oversee the advisers and service providers that support it. You will also serve as a senior relationship contact for clients, fund counsel and service providers, present significant matters to fund boards, manage and develop a team of Associates and Associate Directors, and help grow the Fund CCO service line.

This is a strong opportunity for a seasoned, board-facing compliance leader to step into a client-facing leadership role with visibility across PINE’s fund relationships and the direction of the service line.

About PINE

PINE Advisor Solutions ("PINE") is a dynamic and fast-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:

Immediately serve as named Fund Chief Compliance Officer and Anti-Money Laundering Compliance Officer for multiple 1940 Act registered fund clients, stepping into CCO mandates from day one
Own multiple client relationships, under PINE’s outsourced model, serving as an embedded partner and senior relationship contact for clients, fund legal teams and service providers
Present to fund boards, including in executive session, and prepare the annual Rule 38a-1 report and other CCO reports to the board
Review, at least annually, the adequacy and effectiveness of the compliance policies, procedures and risk assessments of each fund and its service providers, including advisers, sub-advisers, administrators, principal underwriters and transfer agents
Design, perform and document testing of key controls, including reviewing reports, investigating exceptions, assessing conflicts and making inquiries of fund management and service providers
Serve as the point of contact for SEC examinations and manage regulatory examinations of client compliance programs, including SEC, NFA and state examinations
Act as technical lead on complex fund events, such as launches, reorganizations and liquidations, and on complex interpretive questions; draft and review the most complex policies
Review registration documents and guide clients and service providers on regulatory requirements and industry best practices
Report any potential or perceived violations of applicable laws, rules or policies to client and PINE senior management
Conduct on-site and virtual visits to advisers and other service providers (traveling to client locations approximately 25% of the time)
Manage a team of Fund Compliance professionals, including hiring, coaching, 1:1s and performance management, and own the team’s processes and quality of work
Lead business development for the Fund CCO service line and represent PINE at industry events
Other tasks, special projects and duties as assigned

Qualifications:

Bachelor’s degree required; advanced degree (such as a JD or MBA) preferred
15+ years of compliance experience in the asset management industry, with a focus on registered funds
Recent experience serving as named Chief Compliance Officer for registered funds or trusts is a must
Expert knowledge of the Investment Company Act of 1940, including Rule 38a-1, as well as the Securities Act of 1933, the Securities Exchange Act of 1934 and SEC rulemaking affecting registered funds