Fund Chief Compliance Officer, Compliance Director

Responsibilities

• Serve as named Fund CCO and AML Compliance Officer for multiple 1940 Act registered fund clients
• Own client relationships as embedded partner and senior contact for clients, fund legal teams and service providers
• Present to fund boards, including executive session, and prepare the annual Rule 38a-1 report
• Review adequacy of compliance policies and risk assessments of funds and service providers
• Design, perform and document testing of key controls and investigate exceptions
• Serve as point of contact for SEC, NFA and state examinations
• Act as technical lead on complex fund events and interpretive questions
• Conduct on-site and virtual visits to service providers (about 25% travel)
• Manage and develop a team of Fund Compliance professionals
• Lead business development for the Fund CCO service line

Requirements

• Bachelor's degree
• 15+ years of compliance experience in asset management, focused on registered funds
• Recent experience as named Chief Compliance Officer for registered funds or trusts
• Expert knowledge of the Investment Company Act of 1940, Rule 38a-1, Securities Act of 1933 and Securities Exchange Act of 1934
• Experience across open-end funds, ETFs, interval funds, closed-end funds and BDCs
• Experience presenting to fund boards and leading SEC examinations
• Strong people management experience
• Excellent verbal, written and presentation skills

Preferred Qualifications

• Advanced degree such as JD or MBA

About the Company

• PINE Advisor Solutions provides institutional-quality outsourced solutions for funds and investment managers.