Skip to content
The Voleon GroupThe Voleon GroupBerkeley, CA

Compliance Operations Associate

Supports investment advisory compliance program by managing regulatory filings, reviewing reports, administering Code of Ethics software, assisting with training, and serving on supervisory committees. Requires 2-5 years experience in compliance or investment management and a bachelor's degree.

100k – 105k/yr
Hybrid2+ YOELegal

About the role

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.

Skills

Sec RegulationsCftc RegulationsNfa ComplianceCode Of Ethics SoftwareRegulatory FilingsCompliance TrainingInvestment Adviser ComplianceBlue Sky FilingsForm 13FForm 13H

Similar roles

Legal jobs
Applied Intuition

Legal Operations Analyst

Applied IntuitionSunnyvale, CA

Day-to-day point of contact for legal requests, owning intake triage, CLM operations, DocuSign management, entity maintenance, and metrics reporting. Requires 2-8 years in legal operations or contracts management with hands-on system experience.

100k – 160k/yr
On-site2+ YOELegal
Kalshi

Compliance

KalshiNew York, NY

Supports compliance operations for a prediction market platform, drafting policies, administering GRC platform like Vanta, preparing for CFTC exams, and partnering cross-functionally on regulatory matters. Requires 2-4 years compliance experience, ideally in fintech, and familiarity with CFTC entities.

100k – 130k/yr
On-site2+ YOELegal
Luma AI

Contracts Specialist

Luma AIRedwood City, CA

Builds and optimizes contract lifecycle management processes using Ironclad at an AI company, handling administration, audits, reporting, and cross-functional coordination to accelerate business operations. Requires 2+ years experience and hands-on Ironclad expertise.

99k – 123k/yr
Hybrid2+ YOELegal
Crusoe

Contracts Coordinator

CrusoeSan Francisco, CA

Support Crusoe's General Counsel office by managing intake, review, and execution of real estate and energy contracts for data center development. Requires 1-3 years of contract management experience and strong organizational skills.

111k – 135k/yr
On-site1+ YOELegal
Machinify

Team Attorney, Subrogation

MachinifyUnited States

Provide legal support, review, and training to a healthcare subrogation recovery team. Advise on legal issues, court decisions, statutes, and regulations. Requires JD, active law license, and preferably 1+ years in personal injury, criminal, or civil law.

80k – 120k/yr
Remote1+ YOELegal