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Junior Compliance Analyst



Legal and Compliance

Santa Monica, CA
 • 
ID: COMPANSM0621-BB
 • 
Full-Time/Regular

Company Overview:

Wilshire Advisors LLC is a global investment advisory and investment technology firm with a diverse international client base. Wilshire seeks a junior compliance analyst reporting to the CCO. In this role you will provide support to the Compliance team, assist in a broad range of compliance and regulatory matters and help to manage the firm’s compliance calendar. We are looking for a self-motivated, detail-oriented candidate with strong administrative and analytical skills and high ethical standards, who will excel in a fast-paced, team-oriented environment. Background in the financial/investment industry is preferred. Strong organizational skills, eye for detail, client service orientation and sound judgment are a necessity.

 

What you’ll do:

  • Provide assistance with the execution, monitoring and testing of the firm's global compliance policies and procedures.
  • Maintain the firm’s compliance calendar and support the Compliance department to stay on task in the fulfillment of its compliance obligations.
  • Assist in enforcing firm’s compliance policies and code of ethics.
  • Maintain logs that record the implementation of the firm’s compliance policies and procedures
  • Help prepare and deliver training to firm personnel. Ability to use video/learning management systems helpful.
  • Assist in managing SEC, NFA, and other regulatory obligations and filings (eg. Form ADV).

 

What you have:

  • Relevant undergraduate degree or commensurate experience (recent graduates encouraged to apply).
  • 1 to 3 years of experience in financial/ investment or related industry.
  • Strong desire to work in the investment industry in a compliance role.
  • Excellent administrative, organizational and project management skills.
  • Excellent communication skills, both written and verbal.
  • Good judgment with the ability to spot issues and know when to escalate matters.
  • Strong analytical and problem solving skills to identify and avoid obstacles.
  • Flexibility to adjust priorities to meet changing timeframes/requests.
  • Strong interpersonal skills including the ability to work well in a team environment.
  • Strong computer skills and proficiency in all Microsoft Office applications.

 

What you get:

  • Competitive compensation
  • An international, entrepreneurial, and collaborative work environment
  • Work/Life Balance: 15 days of PTO, 13 paid holidays per year (includes the last business week of the year)
  • 401(k) Company Match
  • Comprehensive medical/dental/vision plans, FSA/life insurance/STD/LTD/EAP, Parental Leave, wellness programs
  • CFA/CIPM/CAIA Incentive Program and Professional Membership support

 

COVID-19 HIRING: Our recruiting and onboarding activities are virtual during the pandemic and we’ve transitioned to a work-from-home environment until September. In September, our expectation is that we will transition to a hybrid work-from-home / in-office environment.

 

Visit www.wilshire.com for additional company information. 

 

We are an equal opportunity employer, which means we afford equal employment opportunity to all individuals regardless of race, 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 (defined as having a preference for heterosexuality, homosexuality or bisexuality, having a history of such a preference or being identified with such a preference). 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 Advisors LLC 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.

 

Wilshire Advisors LLC 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. 

 

No phone calls.

 

If you have a disability and require reasonable accommodations in the application process, contact Human Resources at ApplicantAccessibility@wilshire.com or 310-584-6011.

 

This position is located in Santa Monica, CA. View the Google Map in full screen.



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