Compliance Officer
About the Legal & Regulatory Group
The Legal & Regulatory Group is responsible for partnering with Bridgewater businesses to protect the legal and regulatory interests of the firm and its clients and managing legal and regulatory risk to ensure that employees act in accordance with the highest legal and ethical standards. Our group maintains in-house expertise in many areas, including corporate, investment management, private funds, intellectual property, employment and commercial law and compliance. The team works closely with a broad range of departments within the firm and manages relationships with external counsel and regulatory consultants.
About Our Culture
Bridgewater Associates is a premier asset management firm, focused on delivering unique insight and partnership for the most sophisticated global institutional investors. Our investment process is driven by a tireless pursuit to understand how the world's markets and economies work — using cutting edge technology to validate and execute on timeless and universal investment principles. Founded in 1975, we are a community of independent thinkers who share a commitment for excellence. By fostering a culture of openness, transparency, and inclusion, we strive to unlock the most complex questions in investment strategy, management, and corporate culture.
Role Overview
The Compliance Officer will be expected to contribute on day one. Together with other members of the team, the Compliance Officer will be responsible for ensuring compliance with Bridgewater's regulatory obligations. While expected to contribute across all areas of the compliance program, core responsibilities will involve serving as the primary advisory and operational partner to at least two practice areas within Bridgewater's Compliance Team, which include Client Service and Marketing and Conduct Risk and Control. Specific assignment will depend on the Compliance Team's needs as well as the Compliance Officer's aptitude and interest.
Responsibilities
- Advising on regulatory frameworks for where, how, and to whom Bridgewater products and services can be marketed
- Review of marketing materials and overseeing the use of AI for such processes
- Management of state lobbyist filings, approvals for outbound gifts and entertainment and political contributions, and bad actor checks
- Advising front office staff, including department heads, on regulatory matters
- Overseeing vendors and consultants with both substantive and operational roles to ensure quality outcomes
- Navigating and advising on medium level compliance, client service, and investment complexities
Qualifications
- 3-5 years at a law firm and/or in-house legal or compliance team with a focus on financial services regulation
- High intellectual horsepower, agility, logical reasoning, practicality and curiosity
- Comfort operating proactively and independently while simultaneously not being afraid to ask for help when required
- Strong project management and oversight capabilities; willingness to hold others accountable to deadlines and obligations
- Strong interpersonal skills; professional, team-oriented with strong work ethic and a "can-do, will-do" attitude
- Excellent oral and written communication skills
- J.D. preferred
- Familiarity with regulations applicable to alternative investment managers and private funds preferred, but not required for the right candidate