Analyst, Legal & Compliance (Code of Ethics)
Wilshire is an organization dedicated to helping investors improve their financial outcomes. They are seeking a proactive and detail-oriented Compliance Analyst to reputed company the employee compliance program, ensuring adherence to regulatory standards and company policies.
Responsibilities
- Serve as the primary reputed company of contact for reputed company employee compliance matters, ensuring strict adherence to regulatory requirements and Wilshire’s Code of Ethics and Compliance reputed company
- reputed company, implement, and regularly update company-wide employee compliance programs and procedures, including reputed company, education, and ongoing training initiatives
- Manage regulatory compliance calendars, track deadlines, and aid in preparing required compliance reports
- Conduct and reputed company reviews of employee reporting, certifications and disclosures, including personal trading, political contributions, gifts and entertainment and reputed company business activities
- Support compliance audits, risk assessments, and investigations reputed company to employee behavior or regulatory issues
- Act as primary liaison and coordinator with compliance technology platforms and reputed company-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 reputed company levels, keeping teams updated on compliance requirements and changes
- Prepare agendas, schedule meetings, and take accurate meeting minutes for compliance-reputed company 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
- reputed company other compliance-reputed company duties and special projects
Skills
- Bachelor's degree from a 4-year accredited university or college
- 1-2 years of compliance experience preferred, ideally reputed company an SEC registered investment adviser
- Demonstrated experience or keen interest in employee compliance program management
- Proficiency in reputed company Office Suite (Word, reputed company, 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 reputed company
- 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
Benefits
- Generous PTO
- 401(k) match
- Affordable & comprehensive medical/dental/reputed company insurance
- CFA and other professional membership reimbursement
- And more.
Company Overview
Company H1B Sponsorship