Advisory Compliance Officer

3 days ago

Boston, MA, United States Victory Capitel Full time
About Victory Capital:

Victory Capital is a diversified global asset management firm and employs a next-generation business strategy that combines boutique investment qualities with the benefits of a fully integrated, centralized operating and distribution platform.

Victory Capital provides specialized investment strategies to institutions, intermediaries, retirement platforms and individual investors. With 12 autonomous Investment Franchises and a Solutions Business, Victory Capital offers a wide array of investment products and services, including mutual funds, ETFs, separately managed accounts, alternative investments, third-party ETF model strategies, collective investment trusts, private funds, a 529 Education Savings Plan and brokerage services.

Victory Capital is headquartered in San Antonio, Texas, with offices and investment professionals in the U.S. and around the world. To learn more please visit www.vcm.com or follow Victory Capital on Facebook, Twitter, and LinkedIn.

General Summary and Purpose:

This role will join the Investment Adviser Compliance team, with responsibilities spanning the Code of Ethics program, compliance testing, regulatory inquiries, and program enhancements. The position partners closely with the Senior Compliance Officer and CCO to manage reporting, monitoring, and advisory oversight while ensuring alignment with business objectives. The ideal candidate brings institutional asset management or fund advisory compliance experience at a large well-established firm, strong knowledge of securities regulations, and the ability to work effectively in a fast-paced environment.

You will report to the Senior Compliance Officer

You Will:

  • Join and help develop a high-performing investment adviser compliance team.
  • Support the Code of Ethics (COE) program by facilitating employee certifications, managing the pre-clearance process, and assisting in the preparation of necessary reports for the CCO and senior management.
  • Partner with the Senior Compliance Officer to manage, revise, and update the registered investment adviser’s compliance program.
  • Assist with regulatory examinations and inquiries, including information gathering and response preparation.
  • Coordinate compliance testing and monitoring activities, and report findings to the CCO and senior management.
  • Collaborate with compliance personnel on registration, licensing, and supervisory programs and procedures related to advisory activities.
  • Provide guidance and advice to business partners on risk and compliance matters to support business objectives while ensuring adherence to regulatory requirements.
You Have:
  • Minimum of 5-8+ years of experience as an asset management firm compliance professional
  • Background in institutional asset management of fund advisory, with experience at firms managing $50 billion+ in assets under management (AUM)
  • Strong familiarity with investment adviser securities trading practices and monitoring requirements
  • Solid knowledge of securities rules and regulations; direct experience engaging with regulators is a plus
  • Hands-on experience with the design and operation of compliance programs under SEC Rule 206(4)-7
  • Advances education or credentials preferred, such as an MBA, Juris Doctorate, or processional certifications (CIA, CRMA, CRCP)

Our Benefits:

Victory Capital Management offers excellent Medical, Dental, Vision plans, Flexible PTO, Family Medical and Disability Leaves, Education Tuition Reimbursement and a 401k plan with a generous employer match.

Target Compensation:

The target base salary range for this position is $90,000 - $ 130,000.

Salaries are determined based on internal equity, internal salary ranges, market data/ranges, applicant’s skills and prior relevant experience, certain degrees, and certifications.

Victory Capital Management operates a pay-for-performance compensation philosophy and total compensation may vary based on role, location, department and individual performance.

Victory Capital Management’s total compensation package includes the opportunity for annual compensation bonuses and/or commissions and a generous benefits package.

We are committed to equal employment opportunity without regard to actual or perceived race, color, creed, religion, national origin, ancestry, citizenship status, age, sex or gender (including pregnancy, childbirth, pregnancy-related conditions, and lactation), gender identity or expression (including transgender status), sexual orientation, marital status, military service and veteran status, physical or mental disability, genetic information, height, weight, hair texture or a hairstyle historically associated with race to include braids, locks, or twists; or any other characteristic protected by applicable federal, state, or local laws and ordinances.

Equal Opportunity Employer

This employer is required to notify all applicants of their rights pursuant to federal employment laws.
For further information, please review the Know Your Rights notice from the Department of Labor.

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