Director of Investment Adviser Compliance

Posted 7 days ago

or apply directly on PINE Advisor Solutions's site. We never take the application ourselves.

Is this posting real?

This role has been open: 7 days
Reposted: No
Salary listed: No
Ghost-job risk at PINE Advisor Solutions: low
Hiring momentum: 5 roles opened in the last 90 days
Last confirmed on the employer's board: 2026-09-17

Measured from postings appearing on and disappearing from PINE Advisor Solutions's own greenhouse board since 2026-08-03. Full hiring picture for PINE Advisor Solutions.

About this role

The Director of Investment Adviser Compliance at PINE Advisor Solutions will oversee compliance programs for investment adviser clients, managing multiple accounts and providing guidance on SEC regulations. This role involves leading a team, conducting compliance reviews, and representing clients during SEC examinations. The position emphasizes client service, relationship management, and continuous improvement of compliance processes.

Our read on this posting3.4out of 5

benefits: 3/5
freshness: 5/5
career value: 4/5
role clarity: 5/5
pay transparency: 0/5

Scored from the posting itself — how clearly the role is described, how much it says about pay and benefits, and how recently it was listed. Not a judgement of PINE Advisor Solutions as an employer.

What you need

10+ years in investment advisory compliance consulting or in-house
Prior experience as an RIA CCO
Bachelor's degree required
Deep expertise in Advisers Act, Investment Company Act, SEC regulations
Excellent written/verbal communication and presentation skills
Strong interpersonal skills with the ability to build effective working relationships

Nice to have

MBA or JD preferred
Specific experience in asset management, hedge funds, private equity a plus
Compliance certifications like IACCP or CCEP preferred
Existing network and business development experience
NFA/CFTC experience is a plus

What you get

Health Insurance – we cover 100% of the cost for employees
A comprehensive selection of medical, dental, and vision health plans
Life and disability insurance
401(k) savings plan
Unlimited vacation policy
Paid maternity and paternity leave

Worth weighing

Candidates are preferred to work in the Denver office 3-5 days a week, but remote work is an option for the right fit
Some periodic travel to Denver will be expected for remote hires
Salary range is provided, but actual compensation will depend on experience and qualifications

Summarised from PINE Advisor Solutions's posting. Read the full original.

Listed by PINE Advisor Solutions on their greenhouse job board, last confirmed open on 2026-09-17. PitchMeAI is not the employer.