PINE Advisor Solutions

Financial Planning and Analysis

• Support and assist PINE’s registered investment adviser clients by providing regulatory and compliance support
• Support oversight of registered investment adviser compliance matters
• Assist in the development of registered investment adviser risk assessment and risk analysis programs
• Assist with annual reviews in accordance with Rule 206(4)-7 of the Investment Advisers Act of 1940
• Assist in establishing and/or updating required compliance calendars, manuals, and codes of ethics
• Assist with preparation and filing of periodic, annual, and ongoing regulatory filings, including Form ADV, Form PF, 13F, 13D/G, and 13H
• Conduct periodic and annual employee compliance training
• Assist with annual reviews of key vendors
• Conduct quarterly forensic compliance program testing and ongoing reviews based on clients’ written policies and procedures
• Assist with regulatory examinations conducted by the SEC, NFA, and state securities boards
• Assist in developing and maintaining compliance policies, procedures, and programs
• Monitor industry regulatory developments and assist in updating registered investment adviser policies
• Provide support to Registered Fund CCO Support services as needed

Explore Associate, Investment Adviser Compliance at PINE Advisor Solutions. Review requirements and application details.