Senior Analyst, Legal & Compliance

The Senior Analyst will support the firm's comprehensive compliance program, assisting with maintenance and administration, conducting compliance testing and monitoring, and preparing compliance decks for presentation to committees and Boards.

Requirements

• 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.
• Conduct routine and ad hoc compliance testing and monitoring, including forensic testing and trade surveillance, to identify and address potential compliance risks.
• 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

• PTO
• 401(k) match
• Affordable & comprehensive medical/dental/vision insurance
• CFA and other professional membership reimbursement
• Annual discretionary bonus
• Full range of health and financial benefit offerings