Wilshire is an organization dedicated to helping investors improve their financial outcomes. They are seeking a proactive and detail-oriented Compliance Analyst to lead the employee compliance program, ensuring adherence to regulatory standards and company policies.
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
Skills
- 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
Benefits
- Generous PTO
- 401(k) match
- Affordable & comprehensive medical/dental/vision insurance
- CFA and other professional membership reimbursement
- And more.
Company Overview
Wilshire is a leading global financial services firm and trusted partner to a diverse range of approximately 500 leading institutional investors and financial intermediaries. It was founded in 1972, and is headquartered in Santa Monica, California, USA, with a workforce of 201-500 employees. Its website is http://wilshire.com/.Company H1B Sponsorship
Wilshire has a track record of offering H1B sponsorships, with 1 in 2021, 4 in 2020. Please note that this does not guarantee sponsorship for this specific role.