Position Overview
PINE Advisor Solutions, a Centralis Company, is seeking an Associate Director, Broker-Dealer Compliance, to join our Distribution Services team. This individual will partner with the Broker-Dealer Chief Compliance Officer (CCO) and independently manage the day-to-day compliance operations for PINE Distributors, an SEC registered and FINRA member limited purpose broker-dealer. The role owns the registration, licensing and supervisory support lifecycle for registered representatives and supports the CCO across the firm's broader compliance program. As the discipline expert, you will own the final review of this work before CCO sign-off and serve as the primary day-to-day contact for clients and registered reps.
In this role, you will work closely with the CCO and senior team members to manage regulatory and compliance functions, interact with the firm’s clients, and lead special projects. You will also leverage technology to drive scalable, sustainable process efficiencies across Distribution Services.
This is a strong opportunity for a detail-oriented professional to step into a significant role with visibility across critical fund compliance operations, client service delivery, and operational improvement initiatives.
About PINE
PINE Advisor Solutions ("PINE") is a dynamic and fast-growing organization that provides institutional-quality outsourced solutions for funds and investment managers. Our team is driven by the belief that we are contributing to something remarkable.
At PINE, we prioritize client service and a collaborative culture. The ideal candidate will be motivated, detail-oriented, eager to learn, and thrive in a high-performing and supportive environment. Our culture is built around an “all for one and one for all” philosophy. Your contributions matter, and we are a team that embraces challenges and believes in growing through doing.
Key Responsibilities:
- Manage the firm's supervisory system and core compliance calendar, with oversight from the CCO.
- Maintain and update the WSPs and supervisory control system, identifying gaps and recommending changes to the CCO.
- Administer the firm’s online advertising review platform and FINRA advertising filings, partnering with the advertising review team.
- Lead day-to-day coordination of FINRA cycle examinations, including document and data requests, working alongside the CCO.
- Plan, schedule and document internal inspections of offices and supervisory locations, including any remote inspection elections.
- Lead compliance-related projects assigned by the CCO and proactively identify opportunities to improve processes.
- Link registration, disclosure and supervisory issues to regulatory and business risk, anticipate future issues and recommend solutions to the CCO.
- Use discretion handling confidential broker-dealer and personnel information.
- Serve as the primary day-to-day contact for the firm’s clients and registered reps on registration and supervisory matters, including difficult client and service provider conversations.
- Own the final review of registration and compliance work before CCO sign-off.
- Cover day-to-day compliance matters when the CCO is out.
- Provide clear written communication with clients, registered staff, senior management and regulators.
Registered Representative Management:
- Prepare and file Forms U4 and U5 as well as amendments through FINRA Gateway/CRD
- Coordinate fingerprinting and background checks, review prior Forms U5
- Review BrokerCheck history and disclosure events, assess potential heightened-supervision cases and escalate to the CCO with recommendations
- Track exam windows and enrollments
- Monitor Firm and Regulatory Element participation and administer the firm's Firm Element Training Needs Analysis and Plan.
- Disseminate compliance questionnaires and certifications, review and maintain records of outside business activities and private securities transactions
- Maintain Form BR filings, office registrations and residential or remote supervisory location designations
- Manage state and firm registrations and the annual FINRA renewal statement process
- Keep an accurate register of associated persons, licenses, supervisors and approved activities, and serve as the primary contact for registered reps on registration questions
- Conduct or oversee email and messaging review; monitor for off-channel communications
- Administer compliance logs (e.g., gifts and entertainment, political contributions)
Qualifications:
- Bachelor's degree or equivalent professional experience.
- 5+ years of broker-dealer compliance experience, including at least 2 years handling registration and licensing through FINRA Gateway/CRD.
- Track record of independently managing a broker-dealer registration and licensing function end to end.
- Working knowledge of SEC and FINRA registration, supervision, communication and books/records rules, and an interest in keeping up as they change.
- Familiarity with compliance platforms (e.g., internal compliance management, registered rep database, e-communications archiving and review tools).
- Strong organization, attention to detail and the judgment to know when to escalate.
- Self-starter who takes initiative, works well in a team, and can prioritize and meet multiple deadlines.
- Excellent verbal and written communication skills.
- Passion for delivering exceptional client experience.
Work Model (Hybrid Preferred)
- Candidates who can work out of our Denver office 2 days per week are preferred
- We are open to hiring remote employees located anywhere in the US with direct experience. (Some periodic travel to Denver will be expected for remote hires, approx. 5%)
Salary: $80,000 - $100,000
Actual compensation will be determined based on experience, qualifications, and other job-related factors. This position may also be eligible for discretionary bonus compensation.
Employee Benefits
- Health Insurance – we cover 100% of the cost for employees
- A comprehensive selection of medical, dental, and vision health plans
- Life and disability insurance
- Unlimited vacation policy
- Paid maternity and paternity leave
What You Can Expect From PINE
Work-life Balance
- We trust you to be the expert on creating an environment that allows you to bring your best self to work. With unlimited vacation and flexible work-from-home options, we encourage a work-life balance that brings out the best in our team.
Be a Leader
- At PINE, we prioritize ensuring that each team member has the chance to emerge as a leader and make substantial contributions to our company.
Experience an Environment of Learning
- We place an emphasis on learning from each other and celebrating our unique expertise. There are abundant opportunities to learn and hone new skills.
PINE Advisor Solutions provides equal employment opportunities to all employees and applicants for employment and prohibits discrimination and harassment of any type without regard to race, color, religion, sex (including pregnancy), age, national origin, disability status, genetic information, protected veteran status, sexual orientation, gender identity or expression, or any other characteristic protected by applicable federal, state, or local laws. This policy applies to all terms and conditions of employment, including recruiting, hiring, placement, promotion, termination, layoff, recall, transfer, leaves of absence, compensation, and training.
This position is expected to remain open for approximately two weeks. The posting may close sooner if the position is filled or if a sufficient number of qualified applicants are received.
