Compliance Associate

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.