Position Overview:

PINE Advisor Solutions ("PINE") is a dynamic organization that provides institutional-quality, outsourced solutions for funds and investment managers. The PINE team is driven by the belief that we are contributing to something remarkable, and we are currently seeking a qualified candidate who can excel within our synergetic & innovative atmosphere.

PINE's rapid growth and success is a direct outcome of prioritizing our clients. We are in search of a highly motivated broker dealer operations professional to join us on our upward trajectory. The ideal candidate will be motivated by a passion for learning and contributing, adept at managing multiple tasks with a keen attention to detail and committed to embracing our inclusive "all for one and one for all" culture.

The Associate Director of PINE Distribution Services will support and assist PINE’s Distribution Services’ clients by providing a suite of solutions to ETFs, mutual funds, and closed-end interval/tender offer funds.

Responsibilities:

Daily interaction with multiple PINE Distribution Services clients and team members and being responsible for delivery/oversight of intermediary/dealer services and NSCC operations.
Oversee client relationships, including onboarding new clients, setting scope and workflow expectations, communicating findings, answering questions, and ensuring client expectations, regulatory and contractual obligations are met.
Collaborating with other members of the PINE team to participate in Business Development, firm marketing, thought leadership and strengthen client relationships. .

Managing Intermediary/Dealer Services; including:

Managing intermediary or platform agreements and relationships.
Managing 12b-1/shareholder service fee invoice management and payment.
Supporting fund sponsor intermediary oversight and transparency efforts.
Receiving ad-hoc client requests for platform onboarding consultation and operations.
Generate quarterly reporting for clients and fund boards.

Managing NSCC Operations; including:

Ensuring accurate NSCC/AIP/MFP II set up and maintenance.
Distributing daily price and rate files to applicable clients.
Interacting with the DTCC and overseeing net settlement processes.

Being responsible for general Broker Dealer Compliance; including:

Ensuring adherence to firm information security, cyber security, and privacy policy requirements.
Maintaining firm books and records policies and procedures for required management and retention, including operational and electronic communications records.
Following broker-dealer Business Continuity and Disaster Recovery plan for the services and solutions being delivered.

Qualifications:

At least 4 years of in-house or consulting experience in broker dealer and/or fund distribution or operations.
Extensive experience with fund management ecosystem, distribution mechanics and key industry stakeholders for SEC registered and FINRA member broker dealers and registered and private fund offerings.
FINRA Series 6/26 or 7/24 preferred, Series 63 a plus, and experience working with a broker dealer acting as distributor to ’40 Act products.
Capable of comprehending and effectively communicating technical regulatory requirements to diverse audiences.
Recognizes the importance of providing thorough and detailed documentation for all work.
Demonstrates self-motivation, coupled with independent organizational and time/priority management abilities.
Ability to develop subject matter and client specific expertise.
Experience in fostering communication, interaction, and successful partnerships with professionals, including executive management.

Salary Range: $70,000-$110,000

Location/Remote Work

Candidates can work from our Denver office (3-5 days per week are preferred).
Open to hiring remote employees anywhere in US with experience for the right fit.
Some travel to client locations required, less than 5%.
Please indicate your location and remote work interest in your application. Some periodic travel to Denver will be expected for remote employees.

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.

Benefits and Perks

Health Insurance – we cover 100% of the cost for Employees!

A comprehensive selection of EPO, PPO, and HMO medical, dental, and vision health plans

Life and disability insurance

401(k) Savings Plan

Unlimited Vacation Policy

Flexible Work from Home Policy

Quarterly Offsite Denver Based Team Events

Denver Office Snacks & Frequent Catered Team Lunches

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, age, sex, national origin, disability status, genetics, protected veteran status, sexual orientation, gender identity or expression, or any other characteristic protected by 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.

PINE Advisor Solutions

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Associate Director, Distribution Services (Intermediary and NSCC Operations)