Compliance Officer (Trading/Investments)

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.

Overview of the Role

The Compliance Officer will be responsible for contributing to Bridgewater’s goal of excellently fulfilling regulatory obligations, with a primary focus on Bridgewater’s Investment Engine, the cornerstone of Bridgewater’s portfolio management and construction process. The Compliance Officer will work closely with multiple front office groups and will need to gain a deep understanding of their activities, systems, and processes, as well as relevant regulatory considerations. The Compliance Officer will also be responsible for oversight of certain processes executed by personnel within LRG and the back office as part of their testing and filing responsibilities.

Requirements for the Role

• Demonstrate humility, innate curiosity, and openness to new ideas/approaches
• Be hard working, confident, and goal-oriented
• Be honest, exceptionally direct, excited about providing and receiving feedback, constantly striving for improvement, and committed to the pursuit of excellence

Qualifications

• 2-4 years at a law firm and/or in-house legal or compliance team with a focus on financial services regulation
• Knowledge of U.S. securities laws and regulations, including the Investment Advisers Act, and the Exchange Act
• 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, but not required for the right candidate
• Familiarity with regulations applicable to alternative investment managers and private funds preferred, but not required for the right candidate

Preferred Skills

• Experience with trade surveillance platforms and compliance monitoring tools
• Data management or analysis experience
• Excellent spreadsheet modeling and Excel skills
• Familiarity with Bloomberg API for Excel
• Experience with AI tools (Claude, ChatGPT, etc.)

Physical Requirements

The onsite requirement for this role is four days per week at our Westport, CT campus.

Compensation

The wage range for this role is $160,000 - $245,000 inclusive of base salary and discretionary bonus. The expected base salary for this role is between 75-85% of this wage range.

Benefits

Bridgewater reserves the right to change its current benefits program at any time, in a manner that is consistent with applicable federal and state regulations.

Equal Opportunity Employer

Bridgewater Associates, LP is an Equal Opportunity Employer