Regulatory Compliance Associate – AI Finance

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

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.