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Redwood Investment Management, LLC · 5 days ago

Compliance Associate

Scottsdale, AZ

Full-time

Onsite

Entry Level

2+ years exp

Redwood Investment Management is a growing SEC-registered investment adviser providing leading-edge investment solutions. The Compliance Associate will support the compliance program by working closely with various departments to implement and enforce compliance policies.

FinanceFinancial ServicesService Industry

No H1B

Hiring Manager

Princess Gatela

Responsibilities

Review and manage disclosures for marketing and advertising materials to ensure compliance with relevant laws and regulations. Including the 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, and 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

Qualification

SEC rules knowledgeCompliance experienceExcel proficiencyMicrosoft Office proficiencyProject management skillsOral communicationWritten communicationAttention to detailTeam playerPositive attitude