Deputy Chief Compliance Officer- Investment Advisor

Victory Capital•Boston, MA

1d•Onsite

About The Position

The Deputy Chief Compliance Officer serves as a senior leader within the Compliance function of a U.S.-based asset management firm. Reporting directly to the Chief Compliance Officer (CCO) of the registered investment advisor, this individual plays a critical role in maintaining the integrity of the firm's compliance program — overseeing regulatory adherence, managing risk, and fostering a culture of ethical conduct across investment, operational, and client-facing teams.

Requirements

10+ years of compliance experience within the asset management or investment advisory industry.
Bachelor's degree required.
Deep understanding of the Investment Advisers Act of 1940, Investment Company Act of 1940, and relevant SEC rules, including Rule 206(4)-7, Rule 38a-1, Rule 22e-4, Rule 18f-4, and related guidance.
Strong analytical, written, and verbal communication skills and ability to navigate complex regulatory landscapes and advise senior stakeholders with clarity and confidence.

Nice To Haves

Prior leadership experience preferred.
J.D., MBA, or advanced degree in a related field strongly preferred.

Responsibilities

Assist the CCO of the registered investment advisor and the CCO of the mutual funds in designing, implementing, and administering the firm's Rule 206(4)-7 and Rule 38a-1 compliance programs, including maintaining and updating policies and procedures designed to prevent violations of the federal securities laws.
Oversee the preparation and presentation of compliance reports, including annual program reviews, material compliance matter disclosures, and ad hoc updates.
Partner with external counsel, fund administrator, transfer agent and custodian to support fund activities.
Implement and oversee pre- and post-trade compliance monitoring for portfolios, ensuring adherence to investment restrictions, concentration limits, liquidity requirements, and applicable regulatory guidelines.
Coordinate compliance review of regulatory filings, including Form ADV, Form N-CEN, Form N-PORT, Form N-PX, and prospectus/SAI updates, in collaboration with legal and fund operations teams.
Monitor evolving regulatory requirements and ensure firm policies, procedures, and controls remain current and effective.
Identify, assess, and mitigate compliance risks across investment management, trading, marketing, and distribution activities.
Lead periodic compliance testing, surveillance, and monitoring activities; escalate material findings to the CCO and senior management as appropriate.
Develop and deliver compliance training programs to promote awareness and a strong culture of compliance firm-wide.
Coordinate responses to SEC examinations, regulatory inquiries, and internal/external audits.
Manage and mentor compliance staff, supporting professional development and operational excellence within the team.