Senior Associate - Audit, Compliance and Operational Risk

Full time

Hybrid

Legal & Compliance

The listed base salary range for this position is based upon 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.

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 a Senior Associate – Audit, Compliance & Operational Risk, you will help build and operationalize governance, risk, and compliance within the Legal and Compliance organization, reporting directly to the Operational Risk and Audit Manager. Distinct from the firm’s Information and Technology GRC function, this role will focus on strengthening the audit, risk, and compliance program through control assessments, risk assessments, policy development, remediation, and practical improvements to processes and controls.

Sitting at the intersection of operational risk, compliance, and audit, you will partner closely with business, operational, and compliance stakeholders and help translate governance, risk, and controls into clear business language for leadership, auditors, and investors. This is not a checkbox compliance role; it requires genuine audit, risk, or compliance expertise and the ability to understand how systems and processes actually work.

You will also help strengthen the Legal and Compliance organization’s three-lines-of-defense model, serving as a key interface across Compliance, Operational Risk, Internal Audit, and Legal.

As part of the Compliance department, you will have broad exposure to the firm’s trading, operations, and research groups, navigate issues related to the firm’s investment products in a fast-paced, evolving regulatory environment, and help develop policies and procedures to manage and mitigate regulatory requirements.

This role is hybrid, with an expectation of working in our Berkeley office at least three days per week.

Contribute to the risk universe, program and plan;

Contribute to foundation of governance, risk and controls by completing risk reviews, documenting process, and key controls for selected areas;

Assisting with raising and tracking of gaps and enhancements, identifying owners, developing actions plans, tracking remediation and closure.

Document risk processes, procedures, and operational workflows — build the institutional knowledge base

Contribute to the internal audit charter, audit universe,…