Vice President, Registered Fund Compliance Officer

Responsibilities

• Maintain and oversee the 40 Act compliance program for the Wilshire mutual funds, VIT, and interval fund, including monitoring compliance with exemptive relief granted to the interval fund
• Prepare and coordinate mutual fund board meeting materials, including managing the quarterly sub-advisor due diligence questionnaire process and the annual 15(c) review process
• Attend board meetings to report on compliance matters and serve as a trusted compliance resource to the mutual fund and VIT boards
• Conduct periodic on-site due diligence reviews of sub-advisors (travel required on a quarterly basis)
• Review marketing materials related to Wilshire's registered funds for compliance with applicable SEC rules and regulations
• Assist with general compliance functions unrelated to registered funds, including ad-hoc compliance requests, Form ADV annual updates, and other regulatory compliance matters as needed
• Assist with special projects and strategic initiatives, as needed.
• 7+ years of relevant experience from a legal and compliance department of a registered investment adviser, mutual fund administrator or law firm
• Experience with the 40 Act and the Investment Advisers Act of 1940
• Experience preparing board meeting materials, working with fund administrators and sub-advisors and presenting compliance reports to boards of directors or trustees
• Experience conducting sub-advisor due diligence and oversight in a fund-of-funds or multi-manager environment preferred
• Familiarity with SEC exemptive relief orders applicable to registered funds is a plus
• Experience implementing controls for policies and procedures applicable to an SEC registered investment adviser
• Familiarity with compliance related software and applications, including ACA ComplianceAlpha and Dasseti (or similar) is a plus
• Strong organizational skills and ability to manage multiple time sensitive matters in a demanding, fast-paced and fluid environment
• Business and solution-oriented approach to interacting and working with key business partners is critical for this role
• Exceptional analytical, written and oral communication and relationship-building skills required, as is a proven track record working as a member of a team. The candidate must have a strong ability to solve problems in a practical manner and to communicate complex concepts in an understandable way
• Willingness to travel on a quarterly basis for sub-advisor on-site due diligence reviews
• Bachelor's degree required; law degree or M.B.A. are a plus
• This position will work on a hybrid model out of our Santa Monica or New York 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.
• 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.
• If you have a disability, and require reason

Benefits

Additional Information

The Vice President, Registered Fund Compliance Officer will be responsible for maintaining and enhancing the compliance program for Wilshire's registered fund complex, including mutual funds, a variable insurance trust (VIT), and an interval fund. This role serves as a key compliance resource to the fund boards and works closely with internal stakeholders and sub-advisors to ensure adherence to the Investment Company Act of 1940 (the "40 Act") and applicable SEC regulations. This position reports to the Chief Compliance Officer.

Your Match

How well this role fits your profile.

Company Intel

What employees say

Worked at Wilshire Advisors LLC? Share your experience