Compliance Officer

Tx Hq • San Antonio, TX

2d • $89,250 - $116,600

About The Position

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. Victory Capital Services, Inc. (“VCS”) is an introducing broker-dealer with multiple lines of business, including a self-directed brokerage platform, private funds, and other direct-to-fund and direct-to-consumer offerings. It also serves as the principal distributor of Victory Capital’s mutual funds. You will be a member of a team of legal and compliance professionals who provide centralized regulatory support and guidance to our institutional, intermediary, and direct-to-consumer channels. You will report to the Chief Compliance Officer.

Requirements

• 5+ years of experience as a compliance professional preferred (but not required)
• Broker-dealer experience preferred (but not required)
• Experience with mutual funds, ETFs and other investment products
• Knowledge of FINRA rules and regulations and experience engaging with regulators
• Experience reviewing and approving marketing materials
• Experience with development, maintenance, testing and annual reporting of a compliance program under FINRA Rules 3120/3130
• FINRA Series 7, 24 licenses (or must obtain within 90 days of hire)

Nice To Haves

• MBA, advanced risk/compliance certification (CIA, CRMA, CRCP), or Juris Doctorate preferred (but not required)

Responsibilities

• Maintain and enhance the broker-dealer compliance program
• Represent the broker-dealer in connection with regulatory examinations and inquiries
• Create and adopt expanded compliance procedures to support new lines of business with a focus on retail product and services offerings
• Advise various business partners on various risk and compliance matters
• Oversee training and supervision for registered representatives and non-registered transfer agent representatives
• Coordinate and conduct compliance testing, monitoring, and reporting to the BD executive officer (3120 testing and 3130 reports), BD board, and the boards of the Victory mutual funds
• Review marketing materials for a diverse suite of products including mutual funds, ETFs, private funds, advisory services and separately managed accounts

Benefits

• Victory Capital Management Inc. 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
• Number of Employees: 101-250 employees