Compliance Officer (Trading/Investments)

About BridgewaterBridgewater 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.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.In addition, the Compliance Officer will also be expected to work with the Senior Compliance Officer, Deputy CCO, Chief Compliance Officer ("CCO") and other senior leaders on strategic initiatives and essential workstreams. For a high achiever, this strategic work is expected to increase over time and ultimately the scope of the role will be limited only by the abilities and dedication of the person inhabiting it.Requirements for the Role:To thrive in our unique culture, one must demonstrate humility, innate curiosity, and openness to new ideas/approaches. Members of our community need to be hard working, confident and goal-oriented. Like all Bridgewater employees, the Compliance Officer will be expected to be honest, exceptionally direct, excited about providing and receiving feedback, constantly striving for improvement and committed to the pursuit of excellence.Responsibilities:Oversight and execution of a suite of tests, monitoring activity and processes in the Investment Engine, which involves evolving existing tests, designing new ones as needed, and analyzing the results to provide a synthesized view of the effectiveness of internal processes and compliance with relevant requirementsReview, draft, and maintain compliance policies and procedures related to trading, portfolio management, best execution, and investment advisory activities, ensuring alignment with current regulatory requirementsSupport the onboarding of new trading strategies and investment products by reviewing compliance implications and updating policies and procedures accordinglyDesign and execute a risk-based compliance testing programAssisting the Senior Compliance Officer in delivering and systemizing guidance applicable to investment functions such as trading execution, portfolio management and investment researchQualifications: 2-4 years at a law firm and/or in-house legal or compliance team with a focus on financial services regulationKnowledge of U.S. securities laws and regulations, including the Investment Advisers Act, and the Exchange ActHigh intellectual horsepower, agility, logical reasoning, practicality and curiosityComfort operating proactively and independently while simultaneously not being afraid to ask for help when requiredStrong project management and oversight capabilities; willingness to hold others accountable to deadlines and obligationsStrong interpersonal skills; professional, team-oriented with strong work ethic and a "can-do, will-do" attitudeExcellent oral and written communication skillsD. preferred, but not required for the right candidateFamiliarity with regulations applicable to alternative investment managers and private funds preferred, but not required for the right candidatePreferred Skills:Experience with trade surveillance platforms and compliance monitoring toolsData management or analysis experienceExcellent spreadsheet modeling and Excel skillsFamiliarity with Bloomberg API for ExcelExperience with AI tools (Claude, ChatGPT, etc.)Physical RequirementsThe onsite requirement for this role is four days per week at our Westport, CT campus.CompensationThe 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.Why Choose Bridgewater?It takes all types to make Bridgewater great. We seek a diverse group of innovative thinkers and push them to engage in rigorous and thoughtful inquiry. We develop people through an honest examination of their abilities and performance, enabling personal growth and professional development. We strive to provide you opportunities that will challenge you and unlock your potential.One of our core priorities at Bridgewater is to enable our employees to build a great life and career, and we believe our benefits are an important extension of that philosophy. As such, currently Bridgewater offers a competitive suite of benefits.Explore more information about Bridgewater's benefits on our website here.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.This job description is not a contract and confers no contractual rights, privileges, or benefits on any applicant or potential applicant. Bridgewater has the right to change any and all terms of this job description, including, but not limited to, job responsibilities, qualifications and benefits. Nothing in this job description constitutes an offer or guarantee of employment. Please note that we do not provide immigration sponsorship for this position.Bridgewater Associates, LP is an Equal Opportunity Employer