As the Compliance Operations 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 Chief Compliance Officer 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- 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.
- 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 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
"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.
