Senior Analyst, Legal & Compliance
About The Position
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. 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.
Requirements
- 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
Nice To Haves
- 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
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.
Benefits
- 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.
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What This Job Offers
Job Type
Full-time
Career Level
Mid Level
