The Voleon Group · 1 month ago
Regulatory Reporting Associate I
Berkeley, CA
Full-time
Hybrid
Entry, Mid Level
$100K/yr - $110K/yr
2+ years expThe Voleon Group is a technology company focused on applying AI and machine learning to finance. As a Regulatory Reporting Associate, you will support the investment advisory compliance program and work closely with the Chief Compliance Officer to manage regulatory requirements and develop firm policies.
Financial ServicesVenture Capital
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
Qualification
Required
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
Preferred
Prior experience in compliance, investment management (particularly work with registered investment advisers), or paralegal work is preferred
Benefits
Medical, dental and vision coverage
Life and AD&D insurance
20 days of paid time off
9 sick days
401(k) plan with a company match
Company
The Voleon Group
The Voleon Group is a family of companies committed to the development & deployment of cutting-edge technologies in investment management.
201-500 employees
H1B Sponsorship
The Voleon Group has a track record of offering H1B sponsorships. Please note that this does not
guarantee sponsorship for this specific role. Below presents additional info for your
reference. (Data Powered by US Department of Labor)
Distribution of Different Job Fields Receiving Sponsorship
Represents job field similar to this job
Trends of Total Sponsorships
2025 (2)
2024 (2)
2023 (3)
2022 (4)
2021 (1)
2020 (1)
Funding
Current Stage
Growth StageLeadership Team
Jon McAuliffe
Chief Investment Officer and Co-founder
Prem Gopalan
Chief Technology Officer
Company data provided by crunchbase