Compliance Associate

The Voleon Group; Berkeley (CA); On-site; USD 95,000 - 130,000; Full time

Job summary

The Voleon Group is a technology-driven investment manager leveraging AI/ML in finance. We seek a Compliance Associate to support our SEC-registered investment adviser and NFA operations, reporting to the Director of Compliance and collaborating with senior leaders across trading, research, and operations.

You will manage regulatory filings, assist with Ethics software administration, and participate in compliance training and committee oversight in a fast-paced environment.

Qualifications

• 2-5 years of experience with demonstrated talent in professional endeavors.
• Prior experience in compliance, investment management, or paralegal work is preferred.
• Bachelor’s degree, strong preference for finance or accounting.
• Authorization to work in the United States.

Responsibilities

• Manage the preparation of key regulatory filings (e.g., EU Short Reporting, Forms 13H and 13F, various CFTC and NFA filings, state 'Blue Sky' filings and others)
• Review critical reports that would indicate the need to make a regulatory filing
• Assist with the day-to-day administration of the firm's Code of Ethics software system for employee compliance, which includes personal trading by employees and other access persons, various periodic certifications by employees and other documentation, etc.
• Assist with compliance training
• Operate as secretary for various supervisory committees

Skills

Regulatory filings

Compliance experience

Paralegal experience

Authorization to work in the US

Education

Bachelor's degree in finance or accounting

Job description

Voleon is a technology company that applies state-of-the-art AI and machine learning techniques to real-world problems in finance. For nearly two decades, we have led our industry and worked at the frontier of applying AI/ML to investment management. We have become a multibillion-dollar asset manager, and we have ambitious goals for the future.

Your colleagues will include internationally recognized experts in artificial intelligence and machine learning research as well as highly experienced finance and technology professionals. In addition to our enriching and collegial working environment, we offer highly competitive compensation and benefits packages, technology talks by our experts, a beautiful modern office, daily catered lunches, and more.

As the Compliance Associate, you will work on the investment advisory compliance program for an SEC-registered investment adviser and NFA commodity pool operator.

You will work closely with the Director of Compliance to help implement Voleon’s compliance program, with direct exposure to the Chief Compliance Officer and other senior leaders across the firm. As part of the Compliance department, you will have broad exposure to the firm’s trading, operations, and research groups, handle issues related to the firm’s investment products in a fast-paced, constantly evolving regulatory environment, and help develop firm policies and procedures to manage and mitigate regulatory requirements.

Responsibilities

• Manage the preparation of key regulatory filings (e.g., EU Short Reporting, Forms 13H and 13F, various CFTC and NFA filings, state "Blue Sky" filings and others)

• Review critical reports that would indicate the need to make a regulatory filing

• Assist with the day-to-day administration of the firm's Code of Ethics software system for employee compliance, which includes personal trading by employees and other access persons, various periodic certifications by employees and other documentation, etc.

• Assist with compliance training

• Operate as secretary for various supervisory committees

Requirements

• 2-5 years of experience with demonstrated talent in professional endeavors

• Prior experience in compliance, investment management (particularly work with registered investment advisers), or paralegal work is preferred

• Bachelor’s degree, strong preference for finance or accounting

• Authorization to work in the United States

“Friends of Voleon” Candidate Referral Program

If you have a great candidate in mind for this role and would like to have the potential to earn $7,500 if your referred candidate is successfully hired and employed by The Voleon Group, please use this form to submit your referral. For more details regarding eligibility, terms and conditions please make sure to review the Voleon Referral Bonus Program.

Equal Opportunity Employer

The Voleon Group is an Equal Opportunity employer. Applicants are considered without regard to race, color, religion, creed, national origin, age, sex, gender, marital status, sexual orientation and identity, genetic information, veteran status, citizenship, or any other factors prohibited by local, state, or federal law.