LRG - Compliance Officer (Trading/Investments) - 2026

Responsibilities

• 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
• Assisting the Senior Compliance Officer in delivering and systemizing guidance applicable to investment functions such as trading execution, portfolio management and investment research

Requirements

• 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
• 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

Additional Information

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 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.

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