Compliance Officer, Marketing Review

Victory Capital•Boston, MA

11h•Onsite

About The Position

We are seeking a mid-level professional to work in our Marketing Compliance team, supporting both our registered investment adviser (RIA), broker-dealer, and direct platforms. You will actively review and approve advertising and marketing materials for retail, institutional, and intermediary distribution channels, and work directly with colleagues across the company to produce compliant and effective collateral. This role demands both interpreting rules and regulations and hands-on marketing material review for a diverse product suite. We are looking for a team player with strong analytical skills and good common sense. During peak periods, particularly around quarter-end reporting cycles, your ability to prioritize, exercise sound judgment, and collaborate will be critical. Outside of peak periods, you will also be expected to contribute to the success of overall compliance program. This may include various editorial tasks or supervisory functions, as aligned with program needs and/or your interests and abilities. You will report to the Senior Compliance Officer.

Requirements

Bachelor's degree; JD or advanced degree a plus.
3+ years of compliance experience within asset management, ETF issuers, investment adviser, or broker-dealer platforms.
Strong understanding of SEC, FINRA, MSRB and other related securities advertising compliance, with hands-on marketing review experience.
Active FINRA Series 7 and Series 24 licenses, or ability to obtain within 120 days.
Excellent writing skills with strong attention to grammar and punctuation.
Ability to demonstrate resourcefulness, creativity, and initiative by identifying opportunities to enhance existing processes and implementing, as appropriate.
Proficiency in Microsoft Office tools (Excel, PowerPoint, Word)

Nice To Haves

Experience working in Red Oak/AdMaster (strong plus)

Responsibilities

Interpret and apply knowledge of rules and regulations to the review and approval of marketing materials, including advertising, sales literature, institutional material, digital communications, advisory programs, and other types of communications to ensure compliance with applicable regulations.
Review and approve marketing materials for registered investment products across multiple investment franchises, including mutual funds, active/passive ETFs, and UCITS marketed to US Offshore market.
Review and approval of institutional products and services materials, including strategy, separately managed accounts, collective investment trusts, and model portfolio delivery materials.
Assist and seek to enhance documentation of various policies, procedures, and communications to business units.
Act as a collaborative partner to Marketing, Portfolio Management, Product, Fund Administration, and Legal to provide accurate, compliant, commercially practical guidance.
Identify opportunities to implement process improvements and drive innovation with technology, including optimizing the firm’s use of Red Oak and internal AI tools.
Support regulatory examinations and inquiries related to advertising compliance.
Actively participate in various compliance group projects and initiatives.