The Voleon Group

Trade Reporting Associate II

Posted 10 Days Ago

Be an Early Applicant

Berkeley, CA

Hybrid

120K-135K Annually

Senior level

Financial Services

The Role

As a Trade Reporting Associate, you will manage regulatory filings and compliance processes, work with the CCO, and develop policies for an investment advisory firm.

Summary Generated by Built In

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 Trade 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.

Responsibilities

Responsible for various regulatory filings (e.g., Form ADV, Forms 13H and 13F, CFTC and NFA filings, state "Blue Sky" filings and others)
Manage the firm’s Proxy Voting processes
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
Review marketing materials and other communications for regulatory compliance.

Requirements

5+ 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; (iv) compliance division of a securities regulator (e.g., SEC, NFA, CFTC); (v) fund administrators; (vi) or other securities related business.
Knowledge of the Investment Advisers Act of 1940 and its related rules and regulations, as well as broad knowledge of compliance programs
Bachelor’s degree, strong preference for finance or accounting
Authorization to work in the United States

The base salary range for this position is $120,000 to $135,000 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.

#LI-MB1

Top Skills

Investment Compliance

Machine Learning

View all jobs at The Voleon Group

View The Voleon Group Profile

Report Job

Am I A Good Fit?

beta

Get Personalized Job Insights.

Our AI-powered fit analysis compares your resume with a job listing so you know if your skills & experience align.

The Company

HQ: Berkeley, CA

169 Employees

Year Founded: 2007

What We Do

Founded in 2007 by two machine learning scientists, The Voleon Group is a quantitative hedge fund headquartered in Berkeley, CA. We are committed to solving large-scale financial prediction problems with statistical machine learning.

The Voleon Group combines an academic research culture with an emphasis on scalable architectures to deliver technology at the forefront of investment management. Many of our employees hold doctorates in statistics, computer science, and mathematics, among other quantitative disciplines.

Voleon's CEO holds a Ph.D. in Computer Science from Stanford and previously founded and led a successful technology startup. Our Chief Investment Officer and Head of Research is Statistics faculty at UC Berkeley, where he earned his Ph.D. Voleon prides itself on cultivating an office environment that fosters creativity, collaboration, and open thinking. We are committed to excellence in all aspects of our research and operations, while maintaining a culture of intellectual curiosity and flexibility.

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.