Employee Compliance Concierge
full-time•Berkeley•$70k - $80k
About this role
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 an Employee Compliance Concierge, you will work in the Compliance Department to help ensure that the employee activities are conducted in strict accordance with regulatory requirements under the SEC’s Code of Ethics.
You will have the opportunity for broad exposure to the firm’s trading, operations, and research groups. You will also handle issues related to the firm’s investment products in a fast-paced, constantly evolving regulatory environment. This role is a means to make a difference: ensuring compliance is a critical prerequisite to operating in our regulated industry.
\n- 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
- 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
- Familiarity with ComplySci is a huge plus!
The base salary range for this position is $70,000 to $80,000 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.
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What you'll do
- The Employee Compliance Concierge will manage the day-to-day administration of the firm's Code of Ethics software system and ensure compliance with regulatory requirements. This includes tracking employee obligations, scheduling training sessions, and collaborating with Legal and Compliance staff.
About The Voleon Group
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.
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Frequently Asked Questions
What does The Voleon Group pay for a Employee Compliance Concierge?
The Voleon Group offers a competitive compensation package for the Employee Compliance Concierge role. The salary range is USD 70k - 80k per year. Apply through Clera to learn more about the full compensation details.
What does a Employee Compliance Concierge do at The Voleon Group?
As a Employee Compliance Concierge at The Voleon Group, you will: the Employee Compliance Concierge will manage the day-to-day administration of the firm's Code of Ethics software system and ensure compliance with regulatory requirements. This includes tracking employee obligations, scheduling training sessions, and collaborating with Legal and Compliance staff..
Is the Employee Compliance Concierge position at The Voleon Group remote?
The Employee Compliance Concierge position at The Voleon Group is based in Berkeley, California, United States. Contact the company through Clera for specific work arrangement details.
How do I apply for the Employee Compliance Concierge position at The Voleon Group?
You can apply for the Employee Compliance Concierge position at The Voleon Groupdirectly through Clera. Click the "Apply Now" button above to start your application. Clera's AI-powered platform will help match your profile with this opportunity and guide you through the application process.