Compliance Analyst I jobs in United States
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The Voleon Group ยท 3 days ago

Compliance Analyst I

positionBerkeley, CA
timeFull-time
remoteOnsite
seniorityEntry, Mid Level
money$100K/yr - $110K/yr
date2+ years exp

The Voleon Group is a technology company specializing in AI and machine learning applications in finance. As a Compliance Analyst I, you will support the investment advisory compliance program, working closely with the CCO and engaging with various departments to ensure regulatory requirements are met.

Financial ServicesVenture Capital
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Comp. & Benefits
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H1B Sponsor Likelynote

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

Compliance experienceInvestment managementFinance degreeAccounting degreeRegulatory filingsCode of Ethics softwareCompliance trainingParalegal work

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

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

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The Voleon Group is a family of companies committed to the development & deployment of cutting-edge technologies in investment management.
dateFounded in 2008
location
Berkeley, California, USA
people-size201-500 employees
web-link
http://voleon.com/

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 Stage

Leadership Team

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Jon McAuliffe
Chief Investment Officer and Co-founder
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Prem Gopalan
Chief Technology Officer
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Company data provided by crunchbase