The Voleon Group · 9 hours ago

Senior Compliance Associate

Berkeley, CA

Full-time

Remote

Senior Level

$150K/yr - $200K/yr

7+ years exp

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Financial ServicesVenture Capital

Comp. & Benefits

No H1B

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Responsibilities

Materially assist in the preparation of regulatory filings (e.g., Form ADV, Forms 13H and 13F, CFTC and NFA filings, state "Blue Sky" filings and others).

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.

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 the preparation and completion of compliance risk assessments and the annual compliance review.

Conduct compliance training to employees.

Review marketing materials and other communications for regulatory compliance.

Qualification

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Investment Advisers ActRegulatory complianceCompliance programsRegulatory filingsCompliance trainingSecurities regulationCode of Ethics software

Required

7+ 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; or (iv) compliance division of a securities regulator (e.g., SEC, NFA, CFTC).

Knowledge of the Investment Advisers Act of 1940 and its related rules and regulations, as well as broad knowledge of compliance programs.

Excellent research, analytical, organizational, written and verbal communication skills.

Candidates will be required to prepare and submit a work sample for evaluation.

Bachelor’s degree or higher educational attainment.

Authorization to work in the United States.