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Compliance Associate

Scottsdale, AZ

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

Compliance associate, with opportunity for future growth, who will learn quickly about our Firm integrally, the 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.

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

Job Responsibilities:

  • 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
  • Knowledge of Clover Capital Rules and derivative instruments highly preferred
  • 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


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

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.