Analyst, Legal & Compliance (Code of Ethics)

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 Wilshires 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 Wilshires 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 Wilshires 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 :

• Bachelors 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.

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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 or .

Remote Work :

No

Employment Type :

Full-time