Advisory Compliance Officer

Victory Capital • Boston, MA

12h • $90,000 - $130,000

About The Position

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 joins the Investment Adviser Compliance team with broad responsibility across the Code of Ethics program, compliance testing, regulatory inquiries, and program enhancements. You will partner closely with the Senior Compliance Officer and CCO on reporting, monitoring, and advisory oversight. You will need to balance regulatory rigor with business objectives. Reports directly to the Senior Compliance Officer. You will:

Requirements

• Hands-on experience designing and operating compliance programs under SEC Rule 206(4)-7
• 5–8+ years of compliance experience at an asset management firm
• Background in institutional asset management or fund advisory
• Strong familiarity with investment adviser securities trading practices and monitoring requirements
• Solid knowledge of securities rules and regulations; direct regulator engagement experience a plus
• Advanced education or credentials preferred: MBA, JD, or professional certifications (CIA, CRMA, CRCP)

Responsibilities

• Join a high-performing investment adviser compliance team
• Coordinate annual compliance testing and monitoring activities and report findings to senior leadership
• Advise business partners on risk and compliance matters to support business objectives while ensuring regulatory adherence
• Support the Code of Ethics program, facilitating employee certifications, managing pre-clearance, and preparing 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
• Collaborate on registration, licensing, and supervisory programs 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.

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level
• Education Level: No Education Listed