Chief Compliance Officer, Compliance Director

This is a fully remote position, open to applicants in United States.

📋 Description

• Serve immediately as the designated Fund Chief Compliance Officer and Anti-Money Laundering Compliance Officer for various 1940 Act registered fund clients.

• Manage several client relationships within PINE’s outsourced model, acting as an integral partner and senior contact for clients, fund legal teams, and service providers.

• Present findings to fund boards, including during executive sessions, and prepare the annual Rule 38a-1 report along with other CCO reports for the board.

• Conduct an annual review of the adequacy and effectiveness of compliance policies, procedures, and risk assessments pertaining to funds and service providers.

• Design, implement, and document testing of key controls, review reports, investigate exceptions, assess conflicts, and conduct inquiries.

• Act as the primary contact for SEC examinations and oversee SEC, NFA, and state examinations of client compliance programs.

• Serve as the technical lead on intricate fund events, including launches, reorganizations, and liquidations, as well as on complex interpretive questions.

• Draft and review intricate policies.

• Review registration documents and provide guidance to clients and service providers on regulatory requirements and industry best practices.

• Report any 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, conducting one-on-ones, and performance management.

• Drive business development for the Fund CCO service line and represent PINE at industry events.

• Carry out other tasks, special projects, and assigned duties.

⛳️ Requirements

• A bachelor’s degree is required; an advanced degree (such as a JD or MBA) is preferred.

• Over 15 years of compliance experience in the asset management industry, particularly with registered funds.

• Recent experience as the named Chief Compliance Officer for registered funds or trusts is essential.

• 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 impacting registered funds.

• In-depth expertise across registered fund structures, including open-end funds, ETFs, interval funds, closed-end funds, and BDCs, as well as fund events from launch to liquidation.

• Proven experience presenting to fund boards, including in executive sessions, and collaborating closely with fund counsel, senior client management, and service providers.

• Experience leading SEC examinations of registered fund compliance programs.

• Strong people management skills, including hiring, coaching, and performance management.

• Exceptional verbal, written, and presentation skills, with the ability to manage challenging discussions with boards and senior management.

• Proficiency in Microsoft Office, including Excel, PowerPoint, and Word.

• Remote hires must reside in the United States and have relevant Fund CCO experience.

🏝️ Benefits

• Comprehensive health insurance coverage, with 100% of costs covered for employees.

• A wide array of medical, dental, and vision health plans.

• Life and disability insurance provided.

• 401(k) savings plan available.

• Unlimited vacation policy.

• Paid maternity and paternity leave offered.

• Flexible work-from-home options available.

• Opportunities to emerge as a leader and make significant contributions.

• Abundant chances to learn and develop new skills.