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Operations Associate

Nov 16, 2021

We are currently seeking an Operations Associate to join Redwood Investment Management, in our Scottsdale, AZ office.  The associate will join a talented team of professionals who execute critical daily account and trade operations.  These day-to-day tasks that are critical to client satisfaction and Firm success include advisor-client correspondence and coordination, account administration, facilitating account management of Redwood’s separately managed portfolios, and assisting in general securities trading and reporting. This position requires a demonstrated track record working in operations/account processing with an RIA (Registered Investment Advisor), strong interpersonal skills, outstanding organizational skills, and a superb attention to detail.

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, separately managed accounts, sub-advisory relationships, unified managed accounts, investment model platforms, a hedge fund, and the first of a series of ETFs. 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, CA office.

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

Job Responsibilities:

  • Servicing through frequent correspondence via telephone or email to provide HIGH TOUCH service to Financial Advisors
  • Preparing and managing client financial paperwork processes for solicitor accounts from start to completion: opening new accounts, transferring of assets, to setting up trades, and general account maintenance (RMD, termination, deposits, disbursement, etc.)
  • Handling and setting up advisor-client (separately managed accounts) inquiries, solving service transactions through use of TD Ameritrade VEO and TD iRebal
  • Assisting operations team in processing billing and account checks
  • Assisting in securities trading, daily trade confirmations and reconciliation
  • Assisting in monthly GIPS compliant composite calculations
  • Creating and maintaining confidential client portfolio reports using Black Diamond
  • Maintaining compliance logs, client spreadsheets, client files, and mailing lists
  • Assisting Redwood’s CCO (Chief Compliance Officer) in account management retention, i.e. saving and reviewing balances, positions, statements, and necessary files to ensure compliance to securities regulations
  • Responsible for ongoing general administrative desk support as needed to all firm team members including sales, operations, and compliance

Candidate Requirements:

  • 0-2 year(s) relevant experience, working with a Registered Investment Advisor (RIA), investment management firm, or broker/dealer
  • Strong organization and prioritization skills, Demonstrated ability to work efficiently
  • Emphasis on strong written and verbal skills; understands how to communicate with third-party service providers to complete requests on behalf of Redwood; understand how to service third-party financial advisors and their requests
  • Ability for creative analytical problem solving
  • Extremely competent in Excel (IF statements, VLOOKUP, PivotTable), Outlook
  • Undergraduate degree preferred
  • Trading familiarity with TD Ameritrade VEO & TD Ameritrade iRebal is a plus
  • Familiarity with BlackDiamond platform is a plus
  • Knowledge of RedTail CRM is a plus
  • Authorized to work in the United States without sponsorship

Personal Attributes:

  • 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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