Compliance Associate

Redwood Investment Management, LLC; Scottsdale (AZ); On-site; USD 52,000 - 76,000; Full time

Job summary

Redwood Investment Management, LLC in Scottsdale seeks a Compliance Associate to support the compliance program across marketing, disclosures, and internal controls. The role reports to the Chief Compliance Officer and collaborates with management, IT, and operations.

Ideal candidates hold a Bachelor's degree with 2–3 years in financial services compliance, strong Excel skills, and a proactive, team-oriented mindset for in-office work in Old Town Scottsdale.

Qualifications

• Bachelor’s Degree in a related field.
• Strong experience with Excel and Microsoft Office.
• Ability to analyze compliance and business risk and implement solutions.
• Authorized to work in the United States without sponsorship.
• Preferred 2–3 years of prior financial services compliance experience.

Responsibilities

• Review and manage disclosures for marketing and advertising materials to ensure compliance with laws.
• Assist with due diligence questionnaires and requests for proposals.
• Complete weekly/monthly/quarterly compliance checklists.
• Maintain and update the firm’s compliance manual.
• Evaluate risk areas in compliance and provide solutions.
• Assist with risk assessments, annual reviews, vendor reviews.
• Support regulatory inquiry responses and internal audits.
• Monitor and enforce books and records requirements.
• Perform additional operational duties as needed.

Skills

Excel

Microsoft Office

Analytical thinking

Team collaboration

Education

Bachelor’s Degree

Tools

Microsoft Office Suite

Job description

Redwood Investment Management is a growing SEC registered investment adviser providing leading edge investment solutions to institutional, professional investment advisors and retail clients across a variety of vehicles including RIC mutual funds and ETFs, separately managed accounts, sub-advisory relationships, and unified managed account relationships.

The Compliance Associate will learn quickly about our Firm, the compliance program integrally and will have an opportunity for future growth. The person will be reporting to the Firm’s Chief Compliance Officer. The compliance associate will work closely with Senior Management, Marketing, Sales, Investments, Operations, and IT on projects and issues. The position requires a willingness to assist in operational and administrative projects, as needed.

Working knowledge of SEC rules and regulations regarding Registered Investment Advisors and Registered Investment Companies is preferred. In this role, the candidate will help implement and enforce a wide range of compliance policies that are covered below in Job Responsibilities.

While the nature of the role is continually evolving as the Firm change, the following responsibilities are generally representative of the level of work assigned but are not necessarily all inclusive:

Job Responsibilities:

• Review and manage disclosures for marketing and advertising materials to ensure compliance with relevant laws and regulations. Including, ability to learn and implement rules about hypothetical model performance versus composite performance.
• Email archiving review: Assist with the Firm’s monitoring to ensure adherence to firm’s marketing policies and code of ethics personal trading policies.
• Provide input and complete Due Diligence Questionnaires (DDQs) and Request for Proposals (RFPs)
• Complete Weekly/Monthly/Quarterly compliance checklists
• Help maintain and update Firm’s compliance manual
• Evaluate, identify, and solve for potential areas of risk in compliance
• Assist in the preparation of risk assessments, annual reviews, vendor reviews
• Assist with the Firm’s responses and documentation requests to any regulatory inquiries, third party examiners and internal audit
• Monitor and enforce books and records requirements
• Additional operational duties and projects, as needed

Candidate Requirements:

• Bachelor’s Degree
• Strong experience in the use of excel and other Microsoft office products
• Ability to analyze situations for compliance and business risk, and implement solutions to address and mitigate such risk
• Authorized to work in the United States without sponsorship
• Preferred 2-3 years of prior financial services (B/D or RIA) compliance experience

Personality:

• Team Player: Willingness to handle all levels of task required to obtain team success
• Trustworthy and responsible
• Solution provider with composure
• Ability to multi-task effortlessly and manage competing priorities under demanding deadlines
• Well organized
• Excellent oral and written communication skills
• Self-starter but with the understanding to seek assistance and take input/feedback, when needed

Location:

Position will be based in Firm’s main office and candidates should consider commute times to Old Town Scottsdale area. This position requires in-office work presence for all work hours.

Please Send:

Resume and note which position you are applying for in your email.

DISCLAIMERS:

Nothing in this job description restricts management's right to assign or reassign duties and responsibilities to this job at any time.

Background check required and references followed up with.