Compliance Analyst, Core Compliance

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 to 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.

Explore more information about Bridgewater on our website here.

Our Culture

Our culture is anchored in excellence, meaning constant improvement, and it is deeply tied to our mission. Because markets are objective, competitive, and getting smarter everyday, we need to keep rapidly improving to have any chance of beating them. Truth is our most essential tool for engaging with the markets and constantly improving because once you know what's true about your problems and opportunities, you can determine how to get better. Valuing truth means being transparent about your decision-making and mistakes, giving and receiving feedback with humility, and fighting for the best answers over hierarchy, ego, or self-interest. Operating this way is hard - it's only possible because we build meaning in our work and relationships. This meaning comes from the audacity of the mission, and the joy of working alongside people who make you a better version of yourself. The culture, like Bridgewater itself, is always evolving. In 1997 our founder Ray Dalio wrote down his lessons, starting with a Philosophy Statement which remains our foundation. This later evolved into a set of 300+ Principles. In 2022, when Ray transitioned the company, we re-underwrote several of those principles and evolved others, with a specific focus on Meritocracy. Today the culture sits, alongside our people, as our most important edge. When we get it right, it's the engine that powers everything else.

Explore more information about Bridgewater's culture on our website here.

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 Analyst will be responsible for contributing to Bridgewater's goal of excellently fulfilling regulatory obligations, with a primary focus on Bridgewater's Core Compliance program. The Compliance Analyst will support the Senior Compliance Officer and team in efficiently and excellently administering the Core Compliance program, especially inclusive of the following workflows: compliance onboarding, conflicts of interest administration, personal trading, testing, violations processes, and training.

In addition, the Compliance Analyst will 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.

The Compliance Analyst will be expected to exercise a high level of professionalism, discretion, and ethical judgment, particularly given the sensitive and confidential nature of the personal and financial information handled by this role.

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 Analyst 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:

• Execution of a suite of tests, monitoring activity and processes, which involves evolving existing processes, designing new processes as needed, and analyzing the results to provide a synthesized view of the effectiveness of internal processes and compliance with relevant requirements • Partner to review, draft, and maintain compliance policies and procedures ensuring alignment with current regulatory requirements • Identify manual, repetitive compliance processes and lead or co-lead their redesign into AI-assisted or automated workflows • Support the compliance onboarding of new employees and support existing employees with fulfilling their day-to-day compliance obligations • Support the team in developing and scaling consistent guidance to employees
Qualifications:

• 2-4 years compliance experience with a focus on financial services regulation (candidates with slightly less experience but strong regulatory fundamentals and a demonstrated growth trajectory are encouraged to apply) • Familiarity with the Investment Advisers Act • High intellectual horsepower, agility, logical reasoning, practicality and curiosity • Comfort operating proactively and independently on end-to-end processes while simultaneously not being afraid to ask for help when required • Strong project management capabilities; willingness to hold others accountable to deadlines and obligations • Comfort learning and adopting new software/AI tools quickly, with genuine interest in how technology can improve compliance processes • Basic comfort with data and able to work with spreadsheets/databases to identify patterns or anomalies • Strong interpersonal skills; professional, team-oriented with strong work ethic and a "can-do, will-do" attitude • Excellent oral and written communication skills • Familiarity with regulations applicable to alternative investment managers and private funds preferred, but not required
Preferred Skills:

• Experience with employee trade surveillance platforms and compliance monitoring tools • Hands-on experience using generative AI tools for drafting, summarizing, or analyzing compliance documents • Data management and analysis experience • Excellent spreadsheet modeling and Excel skills • Familiarity with Bloomberg Terminal • Familiarity with financial markets and instruments
Physical Requirements

The onsite requirement for this role is four days per week at our Westport, CT campus, with occasional travel to our NYC campus as needed.

Compensation

The wage range for this role is $130,000-180,000 inclusive of base salary and discretionary bonus. The expected base salary for this role is between 80-90% 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 with 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

Bridgewater Associates

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