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. The people who shape our company come from other backgrounds, including concert music performances, humanitarian aid, opera singing, sports writing, and BMX racing. You will be part of a team that loves to succeed together.
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 Regulatory Reporting 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 CCO 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
Responsible for various regulatory filings (e.g., Form ADV, Forms 13H and 13F, CFTC and NFA filings, state "Blue Sky" filings and others)
Manage the firm’s Proxy Voting processes
Review, revise, develop, and implement policies and procedures to address new business practices or regulatory changes (e.g., CTA, etc.)
Work closely with other members of the firm to analyze the compliance impact of investment strategy changes, and implement changes to the compliance program
Develop and test various compliance policies, procedures, and other controls
Review marketing materials and other communications for regulatory compliance.
Requirements
5+ years of experience at: (i) an investment adviser or commodity pool operator working with private investment funds or SMA investors; (ii) a securities compliance consulting firm; (iii) a law firm working on relevant matters; (iv) compliance division of a securities regulator (e.g., SEC, NFA, CFTC); (v) fund administrators; (vi) or other securities related business.
Knowledge of the Investment Advisers Act of 1940 and its related rules and regulations, as well as broad knowledge of compliance programs
Bachelor’s degree, strong preference for finance or accounting
Authorization to work in the United States
The base salary range for this position is $120,000 to $135,000 in 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.
“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.
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