Senior Compliance Associate

Voleon is a technology company that applies state-of-the-art machine learning techniques to real-world problems in finance. For more than a decade, we have led our industry and worked at the frontier of applying machine learning 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 machine learning research as well as highly experienced finance and technology professionals. You will be working with strategies that are at the forefront of machine learning and statistical trading. The strategies have been carefully designed to generate non-correlated returns. Our firm and its strategies are the product of many years of meticulous research and craftsmanship, and you will lead the way in bringing them to investors.

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 Senior Compliance Associate, you will work on the investment advisory compliance program for an SEC-registered investment adviser and NFA commodity pool operator. You will report directly to the CCO to help implement Voleon's compliance program as part of the Legal & 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

• Materially assist in the preparation of regulatory filings (e.g., Form ADV, Forms 13H and 13F, CFTC and NFA filings, state "Blue Sky" filings and others).
• 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.
• Assist 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.
• Assist with the preparation and completion of compliance risk assessments and the annual compliance review.
• Conduct compliance training to employees.
• Review marketing materials and other communications for regulatory compliance.
  
  

Requirements

• 7+ 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; or (iv) compliance division of a securities regulator (e.g., SEC, NFA, CFTC).
• Knowledge of the Investment Advisers Act of 1940 and its related rules and regulations, as well as broad knowledge of compliance programs
• Excellent research, analytical, organizational, written and verbal communication skills
• Candidates will be required to prepare and submit a work sample for evaluation
• Bachelor’s degree or higher educational attainment
• Authorization to work in the United States
  
  

The base salary range for this position is $150,000 to $200,000 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.

Vaccination Requirement

The Voleon Group has implemented a policy requiring all employees who will be entering our worksite, including new hires, to be fully vaccinated with the COVID-19 vaccine. This policy also applies to remote employees, as such employees will be asked to visit our offices from time to time. To the extent permitted by applicable law, proof of vaccination will be required as a condition of employment. This policy is part of Voleon’s ongoing efforts to ensure the safety and well-being of our employees and community, and to support public health efforts.