Compliance Associate

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 a Compliance Associate, you’ll have the opportunity to build deep expertise in investment management compliance while gaining exposure across Voleon’s trading, operations, and research teams.

Working directly with our Compliance Director and an experienced Compliance team, you’ll take on meaningful ownership within our investment advisory compliance program, learn how a sophisticated quantitative investment firm operates, and develop expertise across a broad range of regulatory and investment-related matters.

As you grow, you’ll have the opportunity to expand your responsibilities, become a subject matter expert, and make an increasingly significant impact on the firm.

Responsibilities

• Monitor trading and compliance reports to identify potential regulatory filing requirements and help ensure timely, accurate reporting
• Own the preparation and coordination of key regulatory filings, including EU Short Reporting, Forms 13H and 13F, CFTC and NFA filings, state Blue Sky filings, and others
• Help manage the firm’s employee compliance program, including personal trading, periodic certifications, and other Code of Ethics requirements
• Partner with the Compliance team on firmwide training and other initiatives, including policy review/updates and periodic compliance testing, to strengthen Voleon’s compliance program
• Support key supervisory committees, gaining exposure to senior stakeholders and important compliance and business matters across the firm
• Assist with regulatory readiness efforts and contribute to responses to regulatory inquiries or examinations
• Liaise and collaborate with outside compliance consultants and other service providers, as necessary
• Take on broader responsibilities and develop subject matter expertise as you grow within the role

Requirements

• 2–5 years of professional experience with a track record of strong performance and increasing responsibility
• Experience in compliance/compliance consulting, investment management, financial services, or another highly regulated or detail-oriented environment. We welcome candidates interested in transitioning into compliance
• Strong attention to detail, organizational skills, and an interest in learning complex financial and regulatory concepts in a fast-paced environment
• Ability to work independently, with initiative, but also work with a highly collaborative team
• Effective communication and interpersonal skills to collaborate across teams and stakeholders
• Bachelor’s degree; backgrounds in finance, accounting, or related fields are especially relevant
• 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.