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Senior Compliance Officer



Locations

  • Santa Monica, CA
  • Chicago, IL
  • Pittsburgh, PA
  • Jersey City, NJ

Category

Legal and Compliance

Position Type

Full-Time/Regular

Job Description

Wilshire Advisors LLC is a global investment advisory and technology firm with a diverse international client base. Wilshire seeks a senior compliance officer reporting to the CCO who can assist in developing and maintaining Wilshire’s strong culture of compliance. In this role the individual must be able to manage Wilshire’s code of ethics, assist in developing and maintaining policies and procedures, assist in developing compliance and conflicts risk matrices, and participate in compliance testing. As part of the Wilshire family you can rest assured that every day you are contributing to an organization that is helping millions of people around the world make better investment decisions for a more secure future.

We are looking for a self-motivated, detail-oriented candidate with at least 7 years in compliance, risk management and auditing or compliance testing. Previous experience writing policy, implementing code of ethics and reviewing marketing materials is required. The individual should possess good analytical skills, be highly organized with an eye for detail; have high ethical standards and be able to excel in a exciting, team-oriented environment.

What you’ll do:

  • Report to the directly to the CCO and coordinate with other senior operation and client service leadership to develop and implement strategies to enhance regulatory compliance and reduce risk.
  • Keeps abreast of new rules and regulations and how it affects the business activities of the firm to ensure firm policies and procedures are up to date.
  • Manage Wilshire’s Code of Ethics
  • Manage and oversee marketing review
  • Develops strategic compliance initiatives, and directs these initiatives to completion.
  • Oversee and participate in marketing review
  • Assist in strengthening Wilshire’s risk program.
  • Provide assistance with the implementation, monitoring and testing of the firm's global compliance policies and procedures.
  • Assist in enforcing firm’s compliance policies and code of ethics.
  • Assist in writing, reviewing and managing risk matrix.
  • Assist in writing new policies and updating existing policies, in accordance with changes in rules and regulations.
  • Help the compliance department to stay on task in the fulfillment of its compliance obligations.
  • Maintain logs that record the implementation of the firm’s compliance policies and procedures.
  • Assist in managing SEC, NFA, and other regulatory obligations and filings (eg. Form ADV).

What you have:

  • Knowledge of relevant rules and regulations applicable to a diverse investment adviser (SEC, FINRA, CFTC, NFA).
  • years or more of relevant experience in compliance.
  • Ability to write and maintain policies and procedures
  • 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.
  • Excellent analytical and problem solving skills to identify and avoid obstacles.
  • Flexibility to adjust priorities to meet changing timeframes/requests.
  • Excellent interpersonal skills including the ability to work well in a team environment.
  • Excellent computer skills and proficiency in all Microsoft Office applications.
  • AML certification a plus.

What you get:

  • We offer a comprehensive benefits package including a collaborative work environmentgenerous PTO, 401(k) match, affordable comprehensive medical/dental/vision insurance, CFA and other professional membership reimbursement, and more.

Visit www.wilshire.com for additional company information.

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 people 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 Associates 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 ApplicantAccessibility@wilshire.com or 310-584-6011.


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