Senior Analyst, Legal & Compliance
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
The Senior Analyst will be responsible for supporting the firm’s comprehensive compliance program as an SEC Registered Investment Adviser. This individual will work closely with the Chief Compliance Officer and other stakeholders to help ensure adherence to regulatory requirements, corporate policies, and industry best practices. This position reports to the Chief Compliance Officer.
Responsibilities:
Assist with the maintenance, and ongoing administration of the firm’s compliance program in accordance with SEC rules and other applicable regulations.
Conduct the annual review and update of the Compliance Risk Assessment and oversee ongoing refinement of compliance policies and procedures.
In conjunction with the CCO, draft, update, and maintain the annual compliance testing plan
Conduct routine and ad hoc compliance testing and monitoring, including forensic testing and trade surveillance, to identify and address potential compliance risks.
Coordinate and assist the CCO with the firm’s annual compliance program review, including documentation of findings and remediation efforts.
Assist with preparing compliance decks and updates for presentation to various Wilshire and parent company committees and Boards
Conduct comprehensive reviews of marketing and advertising materials (including websites, presentations, RFPs, and social media) for regulatory compliance and firm brand standards.
Periodically review and update standard compliance responses for RFPs and DDQs.
Provide backup support for employee compliance with the code of ethics, including personal trading surveillance, gifts and entertainment logs, and outside business activity disclosures.
Assist with certain regulatory filings (e.g., Form ADV, Form CRS, 13F, etc.) and maintain accurate compliance records and documentation.
Assist with the preparation for and management of regulatory exams, audits, and other inquiries from the SEC and other regulators.
Monitor regulatory developments and assist in evaluating their potential impact on the firm’s compliance program.
Respond to compliance questions and escalated matters from business units in a timely and thoughtful manner.
Perform other compliance-related duties and special projects.
Qualifications
Undergraduate degree (Business, Finance, Accounting, Legal Studies or related field preferred)
At least 3 years of experience in a compliance, legal, or audit role within the investment advisory industry, preferably at an SEC-registered investment adviser
Strong knowledge of SEC regulations including the Investment Advisers Act of 1940 and related compliance requirements
Familiarity with compliance monitoring, testing protocols, and risk-based assessment approaches
Experience reviewing marketing/advertising for regulatory compliance (SEC Marketing Rule)
Excellent attention to detail and highly organized with strong analytical and problem-solving skills
Outstanding verbal and written communication abilities
High ethical standards and discretion in managing sensitive/confidential information
Ability to work collaboratively within a team and across departments
Ability to manage multiple priorities in a fast-paced environment
Proficiency with Microsoft Office, SharePoint and compliance monitoring platforms (e.g., ACA ComplianceAlpha, Dasseti) is a plus
Progress toward, or completion of, a relevant compliance certification (e.g., IACCP or similar) a plus
Additional Information
This position will work on a hybrid model out of our Santa Monica, or New York 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
The Senior Analyst will be responsible for supporting the firm’s comprehensive compliance program as an SEC Registered Investment Adviser. This individual will work closely with the Chief Compliance Officer and other stakeholders to help ensure adherence to regulatory requirements, corporate policies, and industry best practices. This position reports to the Chief Compliance Officer.
Responsibilities:
Assist with the maintenance, and ongoing administration of the firm’s compliance program in accordance with SEC rules and other applicable regulations.
Conduct the annual review and update of the Compliance Risk Assessment and oversee ongoing refinement of compliance policies and procedures.
In conjunction with the CCO, draft, update, and maintain the annual compliance testing plan
Conduct routine and ad hoc compliance testing and monitoring, including forensic testing and trade surveillance, to identify and address potential compliance risks.
Coordinate and assist the CCO with the firm’s annual compliance program review, including documentation of findings and remediation efforts.
Assist with preparing compliance decks and updates for presentation to various Wilshire and parent company committees and Boards
Conduct comprehensive reviews of marketing and advertising materials (including websites, presentations, RFPs, and social media) for regulatory compliance and firm brand standards.
Periodically review and update standard compliance responses for RFPs and DDQs.
Provide backup support for employee compliance with the code of ethics, including personal trading surveillance, gifts and entertainment logs, and outside business activity disclosures.
Assist with certain regulatory filings (e.g., Form ADV, Form CRS, 13F, etc.) and maintain accurate compliance records and documentation.
Assist with the preparation for and management of regulatory exams, audits, and other inquiries from the SEC and other regulators.
Monitor regulatory developments and assist in evaluating their potential impact on the firm’s compliance program.
Respond to compliance questions and escalated matters from business units in a timely and thoughtful manner.
Perform other compliance-related duties and special projects.
Qualifications
Undergraduate degree (Business, Finance, Accounting, Legal Studies or related field preferred)
At least 3 years of experience in a compliance, legal, or audit role within the investment advisory industry, preferably at an SEC-registered investment adviser
Strong knowledge of SEC regulations including the Investment Advisers Act of 1940 and related compliance requirements
Familiarity with compliance monitoring, testing protocols, and risk-based assessment approaches
Experience reviewing marketing/advertising for regulatory compliance (SEC Marketing Rule)
Excellent attention to detail and highly organized with strong analytical and problem-solving skills
Outstanding verbal and written communication abilities
High ethical standards and discretion in managing sensitive/confidential information
Ability to work collaboratively within a team and across departments
Ability to manage multiple priorities in a fast-paced environment
Proficiency with Microsoft Office, SharePoint and compliance monitoring platforms (e.g., ACA ComplianceAlpha, Dasseti) is a plus
Progress toward, or completion of, a relevant compliance certification (e.g., IACCP or similar) a plus
Additional Information
This position will work on a hybrid model out of our Santa Monica, or New York 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.