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Compliance Associate

Nov 23, 2021

We are currently seeking a Compliance Associate to join Redwood Investment Management, in our Scottsdale, AZ office. The Compliance Associate will support the administration of Redwood’s compliance program and will be reporting to the Firm’s Chief Compliance Officer. This position requires a strong knowledge of SEC rules and regulations regarding Registered Investment Advisors and Registered Investment Companies. In this role, the candidate will help implement and enforce a wide range of compliance policies that cover: review of marketing and advertising materials with performance calculations, code of ethics topics such as trading review of firm and personnel, books and records requirements, and various other risk management related areas. 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. This position will have opportunity for future growth.

Redwood Investment Management is an institutional SEC registered investment adviser providing leading edge investment solutions to clients and investment advisers across a variety of vehicles including the Redwood mutual funds, the LeaderShares® ETFs, separately managed accounts, sub-advisory relationships, unified managed accounts, investment model platforms, and a hedge fund. Redwood’s strategies are primarily quantitative and focus on a macro level view. Our offices are in Scottsdale, AZ. & Los Angeles, CA. This role is in our Scottsdale, AZ office.

The following duties are generally representative of the level of work assigned and are not necessarily all inclusive:

Job Responsibilities:

  • Support the Firm’s CCO
  • Help maintain and update Firm compliance manual
  • Review and manage disclosures for marketing and advertising materials. To ensure compliance with relevant laws and regulations, this requires a strong understanding the interplay between hypothetical performance model performance and composite performance
  • Provide input and complete DDQs, RFPs, Weekly/Monthly/Quarterly compliance checklists both internally and externally
  • Assist with the Firm’s code of ethics/email review/personal trading policies
  • Evaluate, identify, and solve for potential areas of compliance vulnerability and risk
  • Assist in the preparation of risk assessments, annual reviews, and other testing of the Firm’s policies and procedures
  • Assist with the Firm’s responses and documentation requests to any regulatory inquiries, third party examiners and internal audit
  • Conduct compliance due diligence (ex. vendors)
  • Additional operational duties and projects, as needed

Candidate Requirements:

  • Minimum of 2-3 years of prior financial services (B/D or RIA) compliance experience
  • Bachelor’s Degree
  • Knowledge and understanding of laws, SEC regulations (e.g., Investment Advisers Act, Securities Act), and industry best practices affecting registered investment advisors and investment companies
  • Integrally understand the Firm’s business model and the compliance interplay between unified managed accounts, separately managed accounts, registered investment companies, exchange traded companies that have similar strategies
  • 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
  • Knowledge of Clover Capital Rules and derivative instruments highly preferred
  • Authorized to work in the United States without sponsorship


  • Firm Motto: Attention to detail without ego (everyone, including most senior management, handles major and minor tasks as needed);
  • Trustworthy and responsible, with a Positive Attitude;
  • Solution provider with composure;
  • Ability to multi-task and manage competing priorities under demanding deadlines;
  • Strong project management skills;
  • Strong ability to manage up and manage down;
  • Independently motivated and proactive;
  • Well organized, detail-oriented, and excellent oral and written communication skills;
  • Team Player.

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