The Voleon Group · 7 hours ago
Compliance Assistant
Berkeley, CA
Full-time
Onsite
Entry Level
$90K/yr - $90K/yr
2+ years expThe Voleon Group is a technology company that applies advanced AI and machine learning techniques to finance. As a Compliance Assistant, you will support the Compliance Department by ensuring employee activities comply with regulatory requirements and manage the firm's Code of Ethics software system.
Financial ServicesVenture Capital
Responsibilities
Responsible for 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
Contacts new employees regarding compliance obligations including code of ethics and other matters
Assists with set up of broker feeds
Continuous maintenance of firm's Code of Ethics software system and brokerage firm contacts for feeds
Responsible for compliance manual certifications and tracking of all employee obligations
Schedule compliance training sessions, track attendance and certifications
Keep records of various supervisory committees
Work on projects to maintain the firm’s high standards of compliance with new and existing regulations
Collaborate with Legal and Compliance staff to support the firm’s employees
Qualification
Required
2-4 years of demonstrated talent in professional endeavors, particularly in operations or administrative fields
Displays strong customer service aptitude and excellent interpersonal skills
Authorization to work in the United States
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