Analyst, Legal & Compliance (Code of Ethics)
Wilshire Advisors LLC
Full-time
On-site
Santa Monica California United States
Automotive Service Advisor / Writer
Company Description
As part of the Wilshire family, you can rest assured that every day you are contributing to an organization that is helping investors improve their financial outcomes. For more than 50 years, Wilshire has been dedicated to providing customized portfolio solutions grounded in research and powered by next generation technologies.
Wilshire advises on over $1 trillion in assets for some of the world’s largest and most sophisticated institutional investors and is headquartered in the United States with offices worldwide.
Job Description
Wilshire is seeking a proactive and detail-oriented Compliance Analyst to join its in-house Legal & Compliance team as Head of Employee Compliance. This is a unique opportunity for a motivated individual to assume full responsibility for implementing, and maintaining Wilshire’s employee compliance program. You will play a lead role in ensuring that all employees meet regulatory and company standards on an ongoing basis, while offering support across all compliance and legal operations.
Responsibilities:
Serve as the primary point of contact for all employee compliance matters, ensuring strict adherence to regulatory requirements and Wilshire’s Code of Ethics and Compliance Manual
Develop, implement, and regularly update company-wide employee compliance programs and procedures, including onboarding, education, and ongoing training initiatives
Manage regulatory compliance calendars, track deadlines, and aid in preparing required compliance reports
Conduct and oversee reviews of employee reporting, certifications and disclosures, including personal trading, political contributions, gifts and entertainment and outside business activities
Support compliance audits, risk assessments, and investigations related to employee behavior or regulatory issues
Act as primary liaison and coordinator with compliance technology platforms and third-party service providers
Organize and accurately maintain confidential compliance documents and electronic files in a timely manner, ensuring clear audit trails and legal readiness
Take ownership of employee compliance projects and initiatives through the entire lifecycle
Communicate effectively with staff at all levels, keeping teams updated on compliance requirements and changes
Prepare agendas, schedule meetings, and take accurate meeting minutes for compliance-related activities
Monitor regulatory developments and proactively ensure Wilshire’s employee compliance program remains up to date
Contribute to the continual development and improvement of legal and compliance processes and procedures
Perform other compliance-related duties and special projects
Qualifications
Bachelor’s degree from a 4-year accredited university or college
1-2 years of compliance experience preferred, ideally within an SEC registered investment adviser
Demonstrated experience or keen interest in employee compliance program management
Proficiency in Microsoft Office Suite (Word, Excel, PowerPoint), SharePoint and compliance monitoring platforms (e.g., ACA ComplianceAlpha, Dasseti) is a plus
Strong organizational skills with meticulous attention to detail
Ability to exercise sound judgment, maintain confidentiality, and resolve sensitive matters independently
Strong written and verbal communication skills, including the ability to interact with senior management and board members across the Wilshire Group
Proven ability to work both independently and collaboratively in a team environment
Willingness and ability to learn about financial regulations, employee compliance requirements, and industry best practices
Flexible and adaptable approach to managing changing priorities and requests
Additional Information
This position will work on a hybrid model out of our Santa Monica office
We offer a comprehensive benefits package including a collaborative work environment, generous PTO, 401(k) match, affordable & comprehensive medical/dental/vision insurance, CFA and other professional membership reimbursement, and more.
The pay range for this position is $31-$40/hour. However, base pay will be determined on an individual basis considering various factors, including location, qualifications, skills, and experience. The total compensation package includes eligibility for an annual discretionary bonus and a full range of health and financial benefit offerings, which will be provided in conjunction with an offer of employment.
Visit www.wilshire.com for additional company information.
Wilshire is an SEC registered investment adviser and required to track certain political contributions under Rule 206(4)-5. As such, you may be required to disclose your prior political contributions.
We are an equal opportunity employer, which means we afford equal employment opportunity to all individuals regardless of race/ethnicity, creed, color, religion, sex (including gender and gender identity), national origin, ancestry, age, marital status, veteran status, citizenship status, disability, medical condition (as defined by California Government Code section 12926), or sexual orientation. Our employees, as well as applicants and others with whom we do business, will not be subjected to sexual, racial, religious, ethnic, or any other form of unlawful harassment. In addition, Wilshire adheres to the equal employment opportunity requirements of all states and localities in which it does business. We are completely committed to these principles not only because of the various laws which address these subjects, but because it is the right thing to do for our employees and clients to thrive.
If you have a disability, and require reasonable accommodations in the application process, contact Human Resources at [email protected] or 310-584-6011.
As part of the Wilshire family, you can rest assured that every day you are contributing to an organization that is helping investors improve their financial outcomes. For more than 50 years, Wilshire has been dedicated to providing customized portfolio solutions grounded in research and powered by next generation technologies.
Wilshire advises on over $1 trillion in assets for some of the world’s largest and most sophisticated institutional investors and is headquartered in the United States with offices worldwide.
Job Description
Wilshire is seeking a proactive and detail-oriented Compliance Analyst to join its in-house Legal & Compliance team as Head of Employee Compliance. This is a unique opportunity for a motivated individual to assume full responsibility for implementing, and maintaining Wilshire’s employee compliance program. You will play a lead role in ensuring that all employees meet regulatory and company standards on an ongoing basis, while offering support across all compliance and legal operations.
Responsibilities:
Serve as the primary point of contact for all employee compliance matters, ensuring strict adherence to regulatory requirements and Wilshire’s Code of Ethics and Compliance Manual
Develop, implement, and regularly update company-wide employee compliance programs and procedures, including onboarding, education, and ongoing training initiatives
Manage regulatory compliance calendars, track deadlines, and aid in preparing required compliance reports
Conduct and oversee reviews of employee reporting, certifications and disclosures, including personal trading, political contributions, gifts and entertainment and outside business activities
Support compliance audits, risk assessments, and investigations related to employee behavior or regulatory issues
Act as primary liaison and coordinator with compliance technology platforms and third-party service providers
Organize and accurately maintain confidential compliance documents and electronic files in a timely manner, ensuring clear audit trails and legal readiness
Take ownership of employee compliance projects and initiatives through the entire lifecycle
Communicate effectively with staff at all levels, keeping teams updated on compliance requirements and changes
Prepare agendas, schedule meetings, and take accurate meeting minutes for compliance-related activities
Monitor regulatory developments and proactively ensure Wilshire’s employee compliance program remains up to date
Contribute to the continual development and improvement of legal and compliance processes and procedures
Perform other compliance-related duties and special projects
Qualifications
Bachelor’s degree from a 4-year accredited university or college
1-2 years of compliance experience preferred, ideally within an SEC registered investment adviser
Demonstrated experience or keen interest in employee compliance program management
Proficiency in Microsoft Office Suite (Word, Excel, PowerPoint), SharePoint and compliance monitoring platforms (e.g., ACA ComplianceAlpha, Dasseti) is a plus
Strong organizational skills with meticulous attention to detail
Ability to exercise sound judgment, maintain confidentiality, and resolve sensitive matters independently
Strong written and verbal communication skills, including the ability to interact with senior management and board members across the Wilshire Group
Proven ability to work both independently and collaboratively in a team environment
Willingness and ability to learn about financial regulations, employee compliance requirements, and industry best practices
Flexible and adaptable approach to managing changing priorities and requests
Additional Information
This position will work on a hybrid model out of our Santa Monica office
We offer a comprehensive benefits package including a collaborative work environment, generous PTO, 401(k) match, affordable & comprehensive medical/dental/vision insurance, CFA and other professional membership reimbursement, and more.
The pay range for this position is $31-$40/hour. However, base pay will be determined on an individual basis considering various factors, including location, qualifications, skills, and experience. The total compensation package includes eligibility for an annual discretionary bonus and a full range of health and financial benefit offerings, which will be provided in conjunction with an offer of employment.
Visit www.wilshire.com for additional company information.
Wilshire is an SEC registered investment adviser and required to track certain political contributions under Rule 206(4)-5. As such, you may be required to disclose your prior political contributions.
We are an equal opportunity employer, which means we afford equal employment opportunity to all individuals regardless of race/ethnicity, creed, color, religion, sex (including gender and gender identity), national origin, ancestry, age, marital status, veteran status, citizenship status, disability, medical condition (as defined by California Government Code section 12926), or sexual orientation. Our employees, as well as applicants and others with whom we do business, will not be subjected to sexual, racial, religious, ethnic, or any other form of unlawful harassment. In addition, Wilshire adheres to the equal employment opportunity requirements of all states and localities in which it does business. We are completely committed to these principles not only because of the various laws which address these subjects, but because it is the right thing to do for our employees and clients to thrive.
If you have a disability, and require reasonable accommodations in the application process, contact Human Resources at [email protected] or 310-584-6011.