Associate Director, Broker-Dealer Compliance

Position Overview:0:0

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.:true:true:0

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.;ObjectId;ClassId;Properties;1;5;3;1;Aptos;Aptos;1;Aptos;24;normaltextrun;1;true;normaltextrun;1;Default Paragraph Font You will also leverage technology to drive scalable sustainable process efficiencies across Distribution Services. /:0:0

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. /:0:0

About PINE:0:0

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.:0:0

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.:0:0

Key Responsibilities:0:0

:1:720:360;Symbol;left;;multilevel Manage the firm s supervisory system and core compliance calendar with oversight from the CCO.:true:true:0
:1:720:360;Symbol;left;;multilevel Maintain and update the WSPs and supervisory control system identifying gaps and recommending changes to the CCO.:true:true:0
:1:720:360;Symbol;left;;multilevel Administer the firm’s online advertising review platform and FINRA advertising filings partnering with the advertising review team.:true:true:0
:1:720:360;Symbol;left;;multilevel Lead day-to-day coordination of FINRA cycle examinations including document and data requests working alongside the CCO.:true:true:0
:1:720:360;Symbol;left;;multilevel Plan schedule and document internal inspections of offices and supervisory locations including any remote inspection elections.:true:true:0
:1:720:360;Symbol;left;;multilevel Lead compliance-related projects assigned by the CCO and proactively identify opportunities to improve processes.:true:true:0
:1:720:360;Symbol;left;;multilevel Link registration disclosure and supervisory issues to regulatory and business risk anticipate future issues and recommend solutions to the CCO.:true:true:0
:1:720:360;Symbol;left;;multilevel Use discretion handling confidential broker-dealer and personnel information.:true:true:0
:1:720:360;Symbol;left;;multilevel 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.:true:true:0
:1:720:360;Symbol;left;;multilevel Own the final review of registration and compliance work before CCO sign-off.:true:true:0
:1:720:360;Symbol;left;;multilevel Cover day-to-day compliance matters when the CCO is out.:true:true:0
:1:720:360;Symbol;left;;multilevel Provide clear written communication with clients registered staff senior management and regulators.:true:true:0

Registered Representative Management:true:true:0

:1:720:360;Symbol;left;;multilevel Prepare and file Forms U4 and U5 as well as amendments through FINRA Gateway/CRD:true:true:0
:1:720:360;Symbol;left;;multilevel Coordinate fingerprinting and background checks review prior Forms U5:true:true:0
:1:720:360;Symbol;left;;multilevel Review BrokerCheck history and disclosure events assess potential heightened-supervision cases and escalate to the CCO with recommendations:true:true:0
:1:720:360;Symbol;left;;multilevel Track exam windows and enrollments:true:true:0
:1:720:360;Symbol;left;;multilevel Monitor Firm and Regulatory Element participation and administer the firm s Firm Element Training Needs Analysis and Plan.:true:true:0
:1:720:360;Symbol;left;;multilevel Disseminate compliance questionnaires and certifications review and maintain records of outside business activities and private securities transactions:true:true:0
:1:720:360;Symbol;left;;multilevel Maintain Form
filings office registrations and residential or remote supervisory location designations:true:true:0
:1:720:360;Symbol;left;;multilevel Manage state and firm registrations and the annual FINRA renewal statement process:true:true:0
:1:720:360;Symbol;left;;multilevel Keep an accurate register of associated persons licenses supervisors and approved activities and serve as the primary contact for registered reps on registration questions:true:true:0
:1:720:360;Symbol;left;;multilevel Conduct or oversee email and messaging review monitor for off-channel communications:true:true:0
:1:720:360;Symbol;left;;multilevel Administer compliance logs (e.g. gifts and entertainment political contributions):true:true:0

Qualifications:0:0

:1:720:360;Symbol;left;;multilevel Bachelor s degree or equivalent professional experience.:true:true:0
:1:720:360;Symbol;left;;multilevel 5+ years of broker-dealer compliance experience including at least 2 years handling registration and licensing through FINRA Gateway/CRD.:true:true:0
:1:720:360;Symbol;left;;multilevel Track record of independently managing a broker-dealer registration and licensing function end to end.:true:true:0
:1:720:360;Symbol;left;;multilevel Working knowledge of SEC and FINRA registration supervision communication and books/records rules and an interest in keeping up as they change.:true:true:0
:1:720:360;Symbol;left;;multilevel Familiarity with compliance platforms (e.g. internal compliance management registered rep database e-communications archiving and review tools).:true:true:0
:1:720:360;Symbol;left;;multilevel Strong organization attention to detail and the judgment to know when to escalate.:true:true:0
:1:720:360;Symbol;left;;multilevel Self-starter who takes initiative works well in a team and can prioritize and meet multiple deadlines.:true:true:0
:1:720:360;Symbol;left;;multilevel Excellent verbal and written communication skills. /:false:false:0:0:0 /:1:720:360;Symbol;left;;multilevel Passion for delivering exceptional client experience. /:false:false:0:0:0

Work Model (Hybrid Preferred):0:0

:1:720:360;Symbol;left;;hybridMultilevel Candidates who can work out of our Denver office 2 days per week are preferred:0:0
:1:720:360;Symbol;left;;hybridMultilevel 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%):0:0

Salary $80,000 - $100,000:240

Actual compensation will be determined based on experience qualifications and other job-related factors. This position may also be eligible for discretionary bonus compensation.:0:240:240

Employee Benefits:240

:1:720:360;Symbol;left;;hybridMultilevel Health Insurance – we cover 100% of the cost for employees:0:240:240
:1:720:360;Symbol;left;;hybridMultilevel A comprehensive selection of medical dental and vision health plans:0:240:240
:1:720:360;Symbol;left;;hybridMultilevel Life and disability insurance:0:240:240
:1:720:360;Symbol;left;;hybridMultilevel 401(k) savings plan:0:240:240
:1:720:360;Symbol;left;;hybridMultilevel Unlimited vacation policy:0:240:240
:1:720:360;Symbol;left;;hybridMultilevel Paid maternity and paternity leave:0:240:240

What You Can Expect From PINE:0:0

Work-life Balance:0:0

:1:720:360;Symbol;left;;hybridMultilevel 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.:0:0

Be a Leader:0:0

:1:720:360;Symbol;left;;hybridMultilevel At PINE we prioritize ensuring that each team member has the chance to emerge as a leader and make substantial contributions to our company.:0:0

Experience an Environment of Learning:0:0

:1:720:360;Symbol;left;;hybridMultilevel We place an emphasis on learning from each other and celebrating our unique expertise. There are abundant opportunities to learn and hone new skills.
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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.:0:0

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.