Analyst, Legal & Compliance (Code of Ethics)

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
• 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
• This position will work on a hybrid model out of our Santa Monica 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.

Benefits

Additional Information

Wilshire is seeking a proactive and detail-oriented Compliance Analyst to join its in-house Legal & Compliance team as Head of Employee Compliance. This is a unique opportunity for a motivated individual to assume full responsibility for implementing, and maintaining Wilshire's employee compliance program. You will play a lead role in ensuring that all employees meet regulatory and company standards on an ongoing basis, while offering support across all compliance and legal operations.

Your Match

How well this role fits your profile.

Company Intel

What employees say

Worked at Wilshire Advisors LLC? Share your experience