Senior Analyst, Legal & Compliance

Wilshire Advisors LLC•Santa Monica, CA

2h•$31 - $40•Hybrid

About The Position

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

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.