Careers

At PINE Advisor Solutions, we believe in serving our clients with passion, integrity and a sense of partnership. We are always looking for candidates that share these values. We seek motivated individuals that think outside of the box, have an entrepreneurial spirit and enjoy creating efficiencies and synergies for clients.

If you are a like-minded individual, please send us your resume and some information about yourself to info@pineadvisorsolutions.com.

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Current Opening

Director of Regulatory Compliance | Denver, CO

PINE Advisor Solutions (“PINE”) is a nimble organization that delivers institutional quality services through a dynamic outsource solution for funds and investment managers. The PINE team believes we are part of something great, which rests at the core of our search for a qualified candidate who can thrive within our collective mentality.

We are searching for a Director of Regulatory Compliance to join us on our upward trajectory. A successful candidate will be driven by the desire to learn and contribute, be comfortable juggling multiple tasks while maintaining a sharp eye towards detail, and fully invest in our “all for one and one for all” culture.

A successful person in this role will help drive our client’s compliance programs. Having an interest and knowledge with the following is critical for this role:

  • Investment Advisers Act, the Investment Company Act, the Securities Exchange Act of 1933, the Securities Exchange Act of 1934, and other rules and regulations associated with financial services compliance;
  • Identifying and analyzing risks associated with businesses
  • Microsoft Office Suite
  • Cybersecurity protocols
  • Maintenance of a registered investment adviser’s compliance program

Required competencies include:

  • Team player
  • Ability to build collaborative relationships
  • Problem solving
  • Innovative
  • Curiosity
  • IT aptitude with ability to learn various software packages
  • Excellent written and verbal communication
  • Detail-oriented
  • High level of integrity

PINE Advisor Solutions offers competitive compensation and health benefits including a comprehensive selection of EPO, PPO, and HMO medical, dental, and vision health plans. Currently, PINE pays 100% of the employee premium for several of these plans and employees have the option to upgrade their plan for an additional cost.

To be successful in this position an individual will need to possess a strong curiosity to learn with an ability to research compliance related items. We are requesting interested candidates to respond to 2 questions below.

    1. Explain the difference between a supervised person and an access person.
    2. Please provide a summary of why you are interested in the Director of Regulatory Compliance position at PINE.

If interested, please email us at info@pineadvisorsolutions.com and ensure you answer these questions along with your application.

We look forward to hearing from you. Interested candidates can contact PINE to discuss the role further or apply by responding to this job posting.

PINE Advisor Solutions is an Equal Opportunity Employer and does not discriminate on the basis of race, color, religion, national origin, sex, sexual orientation, age, disability, or any other status protected by law or regulation. It is our intention that all qualified applicants be given equal opportunity and that selection decisions be based on job-related factors.

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