Compliance Associate - Investment Management

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, 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.