- Serve as named Fund Chief Compliance Officer and Anti-Money Laundering Compliance Officer for multiple 1940 Act registered fund clients.
- Own client relationships and serve as a senior contact for clients, fund legal teams, and service providers.
- Present to fund boards and prepare annual Rule 38a-1 reports and other CCO reports.
- Review compliance policies, procedures, and risk assessments for funds and service providers at least annually.
- Design, perform, and document control testing; review reports, investigate exceptions, assess conflicts, and make inquiries.
- Serve as the point of contact for SEC examinations and manage regulatory examinations, including SEC, NFA, and state examinations.
- Lead complex fund events and interpretive questions, and draft and review complex policies.
- Review registration documents and guide clients and service providers on regulatory requirements and industry best practices.
- Manage and develop Fund Compliance professionals, including hiring, coaching, and performance management.
- Lead business development for the Fund CCO service line and represent PINE at industry events.
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