Employee Compliance Concierge at The Voleon Group

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 an Employee Compliance Concierge, you will work in the Compliance Department to help ensure that the employee activities are conducted in strict accordance with regulatory requirements under the SEC’s Code of Ethics.

You will have the opportunity for broad exposure to the firm’s trading, operations, and research groups. You will also handle issues related to the firm’s investment products in a fast-paced, constantly evolving regulatory environment. This role is a means to make a difference: ensuring compliance is a critical prerequisite to operating in our regulated industry.

Responsibilities

• Responsible for 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.
• Contacts new employees regarding compliance obligations including code of ethics and other matters
• Assists with set up of broker feeds.
• Continuous maintenance of firm's Code of Ethics software system and brokerage firm contacts for feeds
• Responsible for compliance manual certifications and tracking of all employee obligations
• Schedule compliance training sessions, track attendance and certifications.
• Keep records of various supervisory committees.
• Work on projects to maintain the firm’s high standards of compliance with new and existing regulations
• Collaborate with Legal and Compliance staff to support the firm’s employees
  
  

Requirements

• 2-4 years of demonstrated talent in professional endeavors, particularly in operations or administrative fields
• Displays strong customer service aptitude and excellent interpersonal skills
• Authorization to work in the United States
  
  

The base salary range for this position is $70,000 to $80,000 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.

We may use artificial intelligence (AI) tools to support parts of the hiring process. These tools assist our recruitment team but do not replace human judgement. Final hiring decisions are ultimately made by humans. If you would like more information about how your data is processed, please contact us.