Advisory Compliance Analyst
About The Position
About Victory Capital: Victory Capital (NASDAQ: VCTR) is a diversified global asset management firm. We serve institutional, intermediary, and individual clients through our Investment Franchises and Solutions Platform, which manage specialized investment strategies across traditional and alternative asset classes. Our differentiated approach combines the power of investment autonomy with the support of a robust, fully integrated operational and distribution platform. Clients have access to focused, top-tier investment talent equipped with comprehensive resources designed to deliver competitive long-term performance. Victory Capital is headquartered in San Antonio, Texas. To learn more, visit www.vcm.com or follow us on Facebook, Twitter (X), and LinkedIn General Summary and Purpose: This role will join a newly formed 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 to manage reporting, monitoring, and advisory oversight while ensuring alignment with business objectives. The ideal candidate general institutional asset management or fund advisory compliance experience, knowledge of securities regulations, and the ability to work effectively in a fast-paced environment. You will report to the Senior Compliance Officer
Requirements
- Minimum of 2-5+ years of experience as an management firm compliance professional
- Background in institutional asset management, fund advisory or registered investment advisory with experience
- 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 operation of compliance programs under SEC Rule 206(4)-7t.
Responsibilities
- 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.
- Support 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.
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.
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What This Job Offers
Job Type
Full-time
Career Level
Mid Level
Education Level
No Education Listed
Number of Employees
251-500 employees
