Analyst, Legal & Compliance (Code of Ethics)

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

Company H1B Sponsorship