Wilshire

HQ
Chicago
468 Total Employees
Year Founded: 1972

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Jobs at Wilshire
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Support the CCO in maintaining the firms SEC compliance program: conduct risk assessments, testing and trade surveillance, review marketing materials, assist with regulatory filings and exams, prepare committee materials, and respond to compliance queries and remediation efforts.
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Support and maintain the firm's SEC-registered compliance program, conduct compliance testing and monitoring, prepare filings and exam responses, review marketing materials, manage compliance records, assist with risk assessments and testing plans, and support the Chief Compliance Officer on policy, reporting, and remediation efforts.
23 Days AgoSaved
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Lead and maintain Wilshire's employee compliance program: develop policies, manage trainings and disclosures, oversee audits/investigations, coordinate compliance technology, maintain records, and support reporting and regulatory updates.