Pinnacle Fund Services

Compliance

• Assist the VP of Risk & Compliance in managing incoming compliance inquiries from the business, researching questions, documenting responses, and coordinating the next steps.
• Prepare and support regulatory filings (including collecting required information, drafting responses, and maintaining submission evidence), and track filing calendars/deadlines.
• Respond to client and investor due diligence queries.
• Maintain organized, audit-ready compliance records (filings, correspondence, approvals, and supporting documentation).
• Support other compliance-related matters as assigned, including policy interpretation, and coordination with internal stakeholders.
• Oversee key components of the firm’s AML program, ensuring alignment with regulatory requirements, internal risk appetite, and documented program standards.
• Serve as an escalation point for AML‑specific matters, providing risk‑based analysis and decisioning on high‑risk investors, complex screening hits, and enhanced due diligence cases.
• Review high‑risk investor profiles and AML alerts, ensuring appropriate escalation, documentation, and consistency with internal methodologies.
• Support execution of the annual AML Risk Assessment, including evaluation of program effectiveness, identification of control gaps, and tracking remediation activities.
• Provide AML‑specific guidance to internal teams, translating regulatory expectations into practical application within onboarding, monitoring, and investor servicing processes.
• Own the compliance training program, including annual training needs assessment, curriculum design, delivery methods, and completion tracking.

Compliance Manager