Compliance Operations Associate

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
• Affiliate 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.
• Affiliate 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

Qualifications

Strong organizational skills and attention to detail are essential. Familiarity with financial regulations and compliance processes is required. Proficiency in Microsoft Office Suite is necessary. Strong communication and interpersonal skills are also important.

Skills

• Financial regulations and compliance processes
• Microsoft Office Suite proficiency
• Attention to detail

Benefits

Enriching and collegial working environment, highly competitive compensation and benefits packages, technology talks by our experts, a beautiful modern office, daily catered lunches, and more.

Pay

$100K - $105K

Schedule

N/A

Company Information

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.

About the Role

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.

Benefits

Enriching and collegial working environment, highly competitive compensation and benefits packages, technology talks by our experts, a beautiful modern office, daily catered lunches, and more.

Application Instructions

N/A

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.