Senior Audit, Compliance & Risk Specialist

Voleon; Berkeley (CA); Hybrid; USD 140,000 - 185,000; Full time

Benefits offered by this job

Medical, dental, vision coverage

Life and AD&D insurance

20 days PTO

9 sick days

401(k) with company match

Daily catered lunches

Job summary

Voleon is seeking a Senior Associate – Audit, Compliance & Operational Risk in Berkeley to build and operationalize governance, risk, and compliance within Legal & Compliance, reporting to the Operational Risk and Audit Manager. This role sits at the intersection of risk and controls.

You will work with stakeholders across trading, operations, and research, translate governance into actionable language for leadership and investors, and strengthen the three-lines-of-defense.

Qualifications

• 2–5+ years of experience in audit, risk, or compliance with meaningful GRC depth
• Demonstrated ability to write policies grounded in technical reality — you understand how process, risk and controls work
• Experience working with or maturing a governance, risk and compliance program: risk registers, risk assessments, control mapping, remediation tracking
• Familiarity with risk assessment methodologies (COSO, or equivalent)
• Experience interfacing with operational risk, internal audit, legal, and compliance functions — comfortable navigating multi-stakeholder governance relationships
• Strong understanding of compliance and operational processes and controls
• Experience creating investor-facing or board-level security materials is a plus
• Excellent written and verbal communication — policies, risk narratives, and executive summaries are primary deliverables
• Experience with vendor risk management and third-party due diligence questionnaires
• Self-directed and autonomous — this is an individual contributor role to start; you will prioritize and execute without a team

Responsibilities

• Contribute to the risk universe, program and plan
• Contribute to foundation of governance, risk and controls by completing risk reviews, documenting process, and key controls for selected areas
• Assisting with raising and tracking of gaps and enhancements, identifying owners, developing actions plans, tracking remediation and closure
• Document risk processes, procedures, and operational workflows — build the institutional knowledge base
• Contribute to the internal audit charter, audit universe, and multi-year risk-based plan
• Plan and execute scoped audits with oversight: scoping, walkthroughs, control design assessment, testing, reporting, and remediation follow-up
• Assisting with raising and tracking of gaps and enhancements, identifying owners, developing actions plans, tracking remediation and closure
• Independently managing the SOC project including: coordination with audit teams, document requests facilitation, review and preparation of audit materials to support SOC efforts, own the SOC check-ins and updates
• Document audit processes, procedures, and operational workflows — build the institutional knowledge base
• Assisting with developing compliance policy lifecycle: creation, review, updates, and enforcement across the organization
• Assist with compliance tasks and ad hoc projects as needed such as day-to-day adminstration of the Compliance Program, compliance training, ad hoc compliance requests and reviews
• Assist with compliance follow up remediation efforts and tracking
• Document compliance processes, procedures, and operational workflows — build the institutional knowledge base
• Experience with compliance frameworks (SOC 1, COSO and/or Rule 206 (4) - 7 or equivalent) and the practical work of achieving or maintaining compliance
• Background in financial services, hedge funds, or regulated environments with investor due diligence requirements
• Familiarity with automated compliance platforms
• Experience with operational risk
• Experience working in a quasi-academic, engineering-heavy culture where credibility is earned through demonstrated expertise, not authority

Skills

Risk assessment

Policy writing

Stakeholder management

Regulatory knowledge

Documentation

Education

Bachelor's degree in a related field

Tools

COSO framework

GRC software

Job description

Voleon is seeking a Senior Associate – Audit, Compliance & Operational Risk in Berkeley to build and operationalize governance, risk, and compliance within Legal & Compliance, reporting to the Operational Risk and Audit Manager. This role sits at the intersection of risk and controls.

You will work with stakeholders across trading, operations, and research, translate governance into actionable language for leadership and investors, and strengthen the three-lines-of-defense.