Associate, Investment Adviser Compliance

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

Posted 10/15/2026full-timeDenver • Colorado • United StatesJuniorMid-Level💰 $55,000 - $65,000 per yearWebsite

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 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

What you’ll need

Bachelor’s degree in finance, business, economics, accounting, or a related field required; relevant coursework in securities regulation, business law, or financial markets is a plus
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

Comp & perks