Senior Associate – Compliance recruitment
Wilshire Associates, a leading global independent investment consulting and services firm, provides consulting services, analytics solutions and customized investment products to plan sponsors, investment managers and financial intermediaries. Its business units include, Wilshire Analytics, Wilshire Consulting, Wilshire Funds Management and Wilshire Private Markets. With ten offices on four continents, Wilshire Associates and its affiliates are dedicated to providing clients with the highest quality counsel, solutions and services.
Job Description:
Wilshire Associates is looking to hire a Senior Associate who will be involved with a broad range of Compliance and regulatory matters. This individual will join an existing two person compliance team in overseeing and implementing the firm's compliance program and will report directly to the Chief Compliance Officer.
The firm seeks a qualified candidate who works well under pressure and thrives in a fast paced environment. The Senior Associate will be responsible for assisting the Chief Compliance Officer in managing the firm's compliance program, including implementing new policies and procedures, monitoring and testing existing procedures, maintaining books and records, and working closely with Wilshire's business units by reviewing marketing/advertising materials, RFPs, RFIs and other ad hoc requests.
Responsibilities include:
• Maintain and update the firm’s Compliance policies and procedures based on regulatory developments
• Review high volume of marketing/advertising materials, Requests for Proposals (RFPs), Requests for Information (RFIs), etc.
• Assist with SEC and other regulatory filings (i.e. Form ADV, registrations, renewals)
• Provide guidance and address day to day issues related to the firm’s compliance program
• Review employees’ personal securities transactions
• Assist with monitoring the Wilshire Mutual Funds and Wilshire Variable Insurance Trust Compliance program.
• Conduct various testing to assure compliance with rules, regulations and firm policies
• Coordinate Compliance projects and initiatives with business units across the firm
• Develop training materials for annual compliance meetings
Required Experience and Skills:
- 5+ years of applicable experience in investment management or financial services industry
- Successful candidates will exhibit a working knowledge of the Investment Advisers Act of 1940 and the Investment Company Act of 1940
- Unwavering attention to detail and accuracy; willing to probe issues when necessary
- Excel in a demanding, fast-paced environment under tight deadlines
- Ability to work independently to research problems and provide solutions
- Must possess excellent oral and written communication skills and the ability to interact well with all levels of employees
- High proficiency in Microsoft Office
Educational requirements
- A Bachelor’s degree is required. A degree in Finance, Economics or Accounting is preferred.
Refer to www.wilshire.com for additional company information.
Wilshire Associates Incorporated is an Equal Opportunity Employer. M/F/D/V.
Wilshire Associates Incorporated 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
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