Compliance Officer

Bridgewater Associates•Westport, CT

9h•Hybrid

About The Position

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. In addition, the Compliance Officer will also be expected to work with the Chief Compliance Officer (“CCO”), Deputy 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. Potential strategic initiatives include marshalling AI to enhance the Compliance Department’s effectiveness and make existing controls more efficient.

Requirements

Humility, innate curiosity, and openness to new ideas/approaches.
Hard working and willing to run through walls for the firm and the team.
Confident in their ability to figure things out and humble enough to ask for help when needed.
Goal-oriented.
Honest, exceptionally direct, excited about providing and receiving feedback, constantly striving for improvement and committed to the pursuit of excellence.
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

Nice To Haves

J.D. preferred
Familiarity with regulations applicable to alternative investment managers and private funds preferred, but not required for the right candidate

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