Compliance Associate

Edgestream Partners is a quantitative investment manager founded, run, and owned by scientists and engineers. We use advanced mathematics and technology to model the behavior of financial assets and trade systematically in markets around the world.

Edgestream’s culture isn’t the typical Wall Street one. We focus on the long term, working together to build elegant, correct, and general systems that endure and scale as we grow. We prize curiosity, creativity, attention to detail, and intellectual honesty. These are the foundations of the scientific knowledge that powers our business. And we incentivize our employees to cooperate and share ideas, because we know that compounding our efforts magnifies our achievements.

We’ve been trading since 2003, and we’re still growing. We’re looking for talented, curious, and driven people who can grow with us in the years ahead.

Working at Edgestream

We’re based in Princeton, NJ, a charming university town with a vibrant intellectual community, excellent amenities, and world class schools. Princeton is surrounded by gorgeous countryside, and features easy access to NYC and Philadelphia.

We maintain a collegial and stimulating atmosphere in our well-appointed office. Brilliant colleagues, lively lunchtime discussions, and visiting lecturers give us plenty of food for thought, while private offices and a supportive environment give us the space to focus on solving hard and important problems.

About the Job

Edgestream Partners is looking to hire a Compliance Associate who will have direct involvement in Edgestream’s day-to-day business operations and the implementation of the compliance framework necessary to support the Firm’s growth. 

We are looking for a well-rounded individual who has a strong work ethic and is comfortable working in an entrepreneurial, growing business environment. It is important for this individual to have the highest ethical standards and to fit into a company culture of integrity, honesty, and precision. This individual should be able to work both independently and be engaged and supportive in a team environment.

Responsibilities:

  • Report directly to the CCO on certain functions of the day-to-day compliance of the firm 
  • Assist with a broad range of regulatory filings (including Forms ADV, PF, 13H and 13F) 
  • Monitor the Firm’s Code of Ethics via the Firm’s automated monitoring system 
  • Develop and execute compliance testing of policies and procedures 
  • Maintain and administer the Firm’s compliance training program 
  • Assist with periodically updating the Firm’s Compliance Manual and Code of Ethics 
  • Review evolving marketing materials

Qualifications:

  • Bachelor’s degree in Finance or other related field
  • Minimum 5 years of relevant experience in legal compliance field, as a member of the compliance team of an SEC-Registered Investment Adviser or compliance consulting firm or law firm
  • Experience with SEC regulatory requirements and filings
  • Working knowledge of Investment Advisers Act and private fund rules
  • Demonstrated ability to interpret SEC and CFTC rules and regulations
  • Effective organizational skills and ability to multi-task and manage multiple deadlines and demands in a fast-paced, demanding environment
  • Analytical, with excellent attention to detail
  • Comfortable communicating with different stakeholders within the firm
  • Ability to work independently and efficiently and execute reliably under tight deadlines
  • Knowledge of FATCA Compliance
  • Proficiency preferred in each of Excel, Word, PowerPoint, and G Suite 
  • Knowledge of ComplySci PTCC system is preferred, but not required

Some of the benefits of working at Edgestream:

  • Competitive salary, bonus, and incentive compensation based on overall company
    performance.
  • Fantastic resources, accumulated over decades, for turning ideas into reality.
  • Comprehensive, first-class benefits (including excellent medical and dental insurance, 401(k)s, life and disability insurance, catered lunch, and an onsite gym).
  • For qualified employees, the opportunity to invest in our funds.

Contact Info
E-mail: careers@edgestreamlp.com.

No telecommuting.

Legal disclaimer: In compliance with federal law, all persons hired will be required to verify
identity and eligibility to work in the United States and to complete the required employment
eligibility verification document form upon hire.