Trade Reporting Associate II at The Voleon Group

Berkeley, California, United States

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Not SpecifiedCompensation

Mid-level (3 to 4 years)Experience Level

Full TimeJob Type

UnknownVisa

Finance, Investment Management, Hedge FundIndustries

Requirements

5+ 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; (iv) compliance division of a securities regulator (e.g., SEC, NFA, CFTC); (v) fund administrators; (vi) or other securities related business
Knowledge of the Investment Advisers Act of 1940 and its related rules and regulations, as well as broad knowledge of compliance programs
Bachelor’s degree, strong preference for finance or accounting
Authorization to work in the United States

Responsibilities

Responsible for various regulatory filings (e.g., Form ADV, Forms 13H and 13F, CFTC and NFA filings, state "Blue Sky" filings and others)
Manage the firm’s Proxy Voting processes
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
Review marketing materials and other communications for regulatory compliance

Skills

Form ADV

Form 13F

Form 13H

CFTC filings

NFA filings

Blue Sky filings

Proxy Voting

SEC compliance

Regulatory filings

Policy development

Compliance program

The Voleon Group

Investment management using machine learning algorithms

About The Voleon Group

Voleon focuses on investment management by utilizing machine learning to analyze financial market trends. The firm uses advanced statistical models to process large datasets and identify patterns that inform investment decisions, setting it apart from traditional methods that rely on human intuition. Voleon serves institutional clients and operates on a performance-based fee structure, aligning its interests with those of its clients. The company's goal is to provide data-driven insights that optimize investment returns while adapting to changing market conditions.

Berkeley, CaliforniaHeadquarters

2007Year Founded

VENTURE_UNKNOWNCompany Stage

Quantitative Finance, Financial ServicesIndustries

51-200Employees

Benefits

Health Insurance

Dental Insurance

Vision Insurance

Life Insurance

Paid Vacation

Paid Sick Leave

401(k) Retirement Plan

401(k) Company Match

Risks

Competition from other quantitative hedge funds may erode Voleon's market share.

Regulatory scrutiny on AI use in finance could increase compliance costs for Voleon.

Data quality issues could lead to inaccurate predictions and financial losses for Voleon.

Differentiation

Voleon uses machine learning for data-driven financial market predictions.

The firm serves institutional clients with a focus on scalability and risk management.

Voleon's academic approach emphasizes intellectual rigor and continuous learning.

Upsides

Increased interest in ESG investing offers new opportunities for Voleon's models.

Alternative data sources enhance predictive models for quantitative hedge funds like Voleon.

Cloud computing enables efficient scaling of Voleon's data processing capabilities.

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