Chief Compliance Officer, Compliance Director

PINE Advisor Solutions

. Immediately serve as named Fund Chief Compliance Officer and Anti-Money Laundering Compliance Officer for multiple 1940 Act registered fund clients .

Posted 11/6/2026full-timeRemote • United StatesLead💰 $150,000 - $200,000 per yearWebsite

Core Competencies

Role fit

Core Competencies

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Demonstrates extensive expertise in compliance management within the asset management industry, particularly as a Chief Compliance Officer for registered funds. Proficient in regulatory frameworks, compliance policies, and effective team leadership.

Highest-signal resume keywords

Chief Compliance Officer ExperienceInvestment Company Act of 1940 ExpertiseRegistered Fund Structures KnowledgeSEC Examination LeadershipPeople Management Skills

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills

Compliance Policy DevelopmentRisk AssessmentRegulatory ReportingControl TestingFund Event ManagementConflict AssessmentPolicy DraftingRegistration Document ReviewCompliance Program ManagementPerformance Management

Soft Skills

Verbal CommunicationWritten CommunicationPresentation SkillsInterpersonal SkillsCoaching Skills

Tools & Technologies

Microsoft OfficeExcelPowerPointWord

Industry Keywords

1940 Act Registered FundsAnti-Money Laundering ComplianceSecurities Act of 1933Securities Exchange Act of 1934Rule 38a-1Fund ComplianceAsset Management IndustryETFsClosed-End FundsBDC

About the role

Key responsibilities & impact

Immediately serve as named Fund Chief Compliance Officer and Anti-Money Laundering Compliance Officer for multiple 1940 Act registered fund clients
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 annually the adequacy and effectiveness of compliance policies, procedures and risk assessments for funds and service providers
Design, perform and document testing of key controls, review reports, investigate exceptions, assess conflicts and make inquiries
Serve as point of contact for SEC examinations and manage SEC, NFA and state examinations of client compliance programs
Act as technical lead on complex fund events, including launches, reorganizations and liquidations, and on complex interpretive questions
Draft and review complex policies
Review registration documents and guide clients and service providers on regulatory requirements and industry best practices
Report potential or perceived violations of applicable laws, rules or policies to clients and PINE senior management
Conduct on-site and virtual visits to advisers and 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
Lead business development for the Fund CCO service line and represent PINE at industry events
Perform other tasks, special projects and assigned duties

Requirements

What you’ll need

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
Deep expertise across registered fund structures, including open-end funds, ETFs, interval funds, closed-end funds and BDCs, and fund events from launch to liquidation
Demonstrated experience presenting to fund boards, including in executive session, and working directly with fund counsel, senior client management and service providers
Experience leading SEC examinations of registered fund compliance programs
Strong people management experience, including hiring, coaching and performance management
Excellent verbal, written and presentation skills, including the ability to handle challenging conversations with boards and senior management
Proficiency in Microsoft Office, including Excel, PowerPoint and Word
Remote hires must be located in the United States and have prior Fund CCO experience

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