Regulatory Reporting Associate I
About The Position
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.
Requirements
- 2-5 years of experience with demonstrated talent in professional endeavors
- Bachelor’s degree, strong preference for finance or accounting
- Authorization to work in the United States
Nice To Haves
- Prior experience in compliance, investment management (particularly work with registered investment advisers), or paralegal work is preferred
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
Benefits
- medical, dental and vision coverage
- life and AD&D insurance
- 20 days of paid time off
- 9 sick days
- a 401(k) plan with a company match
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What This Job Offers
Job Type
Full-time
Career Level
Entry Level
Number of Employees
11-50 employees
