Compliance Operations Associate

The-Voleon-Group; Berkeley (CA); On-site; USD 70,000 - 90,000; Full time

Benefits offered by this job

Medical, dental, and vision coverage

Life and AD&D insurance

20 days of paid time off

401(k) plan with company match

Daily catered lunches

Job summary

The Voleon Group is seeking a Compliance Operations Associate in Berkeley, California, to manage regulatory filings and assist with compliance training. The ideal candidate will have 2-5 years of relevant experience, preferably in compliance or investment management, with a strong attention to detail and a bachelor's degree in finance or accounting. This position includes competitive compensation and a benefits package in line with the company's commitment to innovation and excellence in the use of AI for investment management.

Qualifications

• 2-5 years of experience with demonstrated talent in professional endeavors.
• Prior experience in compliance, investment management, or paralegal work is preferred.
• Authorization to work in the United States.

Responsibilities

• Manage the preparation of key regulatory filings.
• Review critical reports indicating regulatory filing needs.
• Assist with compliance training.

Skills

Compliance expertise

Attention to detail

Regulatory knowledge

Education

Bachelor’s degree in finance or accounting

Job description

The listed base salary range for this position is based upon the location(s) of this posting. Individual salaries are determined through a variety of factors, including, but not limited to, education, experience, knowledge, skills, and geography. Base salary does not include other forms of total compensation such as bonus compensation and other benefits.

Our benefits package includes medical, dental, and vision coverage, life and AD&D insurance, 20 days of paid time off, 9 sick days, and a 401(k) plan with a company match.

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 machine learning research as well as highly experienced finance and technology professionals. You will be working with strategies that are at the forefront of machine learning and statistical trading. The strategies have been carefully designed to generate non-correlated returns. Our firm and its strategies are the product of many years of meticulous research and craftsmanship, and you will lead the way in bringing them to investors.

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

You will work directly with the Chief Compliance Officer to help implement Voleon's compliance program 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 to 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.