Associate, Investment Adviser Compliance

PINE Advisor Solutions

. Support and assist PINE’s registered investment adviser clients by providing regulatory and compliance support .

Posted 10/22/2026full-timeRaleigh • North Carolina • United StatesJuniorMid-Level💰 $55,000 - $65,000 per yearWebsite

Core Competencies

Role fit

Core Competencies

Use this summary to align your resume positioning with the role.

Demonstrates expertise in regulatory compliance and risk assessment within the investment management industry, with strong capabilities in developing compliance policies and conducting training. Proficient in regulatory filings and maintaining effective relationships with clients and colleagues.

Highest-signal resume keywords

Regulatory Compliance SupportRisk Assessment DevelopmentInvestment Advisers Act of 1940 FamiliarityMS Office ProficiencyExcellent Communication Skills

ATS Keywords

Tailor your resume

Applicant Tracking System Keywords

Tip: use these terms in your resume and cover letter to boost ATS matches.

Hard Skills

Regulatory FilingsCompliance Policy DevelopmentRisk Analysis ProgramsForensic Compliance TestingCompliance Training

Soft Skills

Interpersonal SkillsCollaborative Team MemberSolution-Oriented Approach

Tools & Technologies

MS ExcelMS PowerPointMS Word

Industry Keywords

Investment ManagementSEC RegulationsFINRA LawsNFA RegulationsPooled Investment Vehicles

About the role

Key responsibilities & impact

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 items, including an ongoing compliance calendar, compliance manual and code 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, including administrators, transfer agents, fund distributors, auditors and prime brokers
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

Requirements

What you’ll need

Bachelor’s degree in finance, business, economics, accounting, or a related field required
0-2 years of experience (including internships) in a regulatory, compliance, or finance-related field, preferably within the investment management industry
Proficiency in MS Office, including Excel, PowerPoint, and Word
Excellent written and verbal communication skills, with the ability to clearly convey complex information
Collaborative team member with strong interpersonal skills and a positive, solution-oriented approach
Demonstrated ability to build and maintain effective relationships with colleagues and clients
Strong interest in learning about compliance and regulatory matters affecting the operations and governance of investment advisers, pooled investment vehicles and registered mutual funds
Familiarity with the Investment Advisers Act of 1940, Investment Company Act of 1940, Regulation D, and other SEC, FINRA and NFA laws and regulations that affect asset managers is a plus

Benefits

Comp & perks

Health Insurance – we cover 100% of the cost for employees
A comprehensive selection of medical, dental, and vision health plans
Life and disability insurance
401(k) savings plan
Unlimited vacation policy
Paid maternity and paternity leave
Flexible work-from-home options
Opportunities to emerge as a leader and make substantial contributions
Abundant opportunities to learn and hone new skills