Compliance Officer (Trading/Investments) New Westport, CT

Compliance Officer (Trading/Investments) Westport, CT About Bridgewater 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. About the Legal & Regulatory Group The Legal & Regulatory Group partners with Bridgewater businesses to protect the legal and regulatory interests of the firm and its clients and manages legal and regulatory risk to ensure employees act in accordance with the highest legal and ethical standards. The group maintains in-house expertise in many areas, including corporate, investment management, private funds, intellectual property, employment and commercial law, and compliance. It works closely with a broad range of departments and manages relationships with external counsel and regulatory consultants. Overview of the Role The Compliance Officer will contribute 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 role works closely with multiple front office groups, gaining a deep understanding of their activities, systems, and processes, and the relevant regulatory considerations. The Compliance Officer also oversees certain processes performed by personnel within LRG and the back office as part of their testing and filing responsibilities. In addition, the Compliance Officer works 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, evolving existing tests, designing new ones, and analyzing results to provide a synthesized view of the effectiveness of internal processes and compliance with relevant requirements. Review, draft, and maintain compliance policies and procedures related to trading, portfolio management, best execution, and investment advisory activities, ensuring alignment with current regulatory requirements. Support the onboarding of new trading strategies and investment products by reviewing compliance implications and updating policies and procedures accordingly. Design and execute a risk‑based compliance testing program. Assist the Senior Compliance Officer in delivering and systemizing guidance applicable to investment functions such as trading execution, portfolio management and investment research. 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 a strong work ethic and a “can‑do, will‑do” attitude. Excellent oral and written communication skills. Doctorate 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. 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 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. Legal and Employment Information 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. #J-18808-Ljbffr