Portfolio Compliance Associate

Victory Capital • Boston, MA

18d

About The Position

You support a team of portfolio compliance professionals within VCM’s Legal and Compliance department, assisting with regulatory oversight and trade compliance activities. In this role, you will contribute to daily trade compliance monitoring, rule implementation support, client onboarding processes and escalation procedures, while ensuring alignment with regulatory requirements, client guidelines and internal policies and procedures. You will have the opportunity to collaborate closely with portfolio management, operations, legal and sales, while receiving cross-training in select non-core compliance functions to support broader department initiatives.

Requirements

• 2-4 years of experience in portfolio compliance or related financial services compliance role.
• Experience compliance monitoring systems with an emphasis on Charles River (CRD) and demonstrated knowledge of trade order management workflows.
• Ability to understand and execute regulatory concepts while providing clear communication to senior members of the firm.
• Experience interpreting and coding UCITS rules, reviewing client IMAs, and conducting new account onboarding from a portfolio trade compliance perspective.
• Working knowledge of 1940 Act requirements, UCITS guidelines, CSSF regulations, and other applicable US and international regulations governing trading and investment adviser activities.
• Knowledge and experience working with various asset classes including Equities, Swaps, Futures, Exchange Linked Notes (ELNs), Asset-Backed Securities and Insurance Linked Securities.
• Bachelor’s degree (or above) in a relevant field.

Responsibilities

• Support and contribute to daily monitoring of pre- and post-trade activity across multiple asset classes and account types under manager supervision.
• Assist in maintaining the portfolio trade compliance program, with a focus on coding, testing, and managing rules within Charles River (CRD) with oversight.
• Execute a wide range of compliance tasks, including the interpretation of client and prospectus guidelines, rule coding, and regulatory adherence to various standards and regulations including the Investment Company Act of 1940, UCITS Directives and CSSF.
• Conduct initial review of potential active and passive UCITS breaches, including, documentation of findings, and coordination with portfolio managers, escalating complex issues to senior team members/management to ensure effective remediation.
• Assist in preparing detailed incident reports and client reporting activities.
• Support new account onboarding, including interpretation of client guidelines, rule analysis, coding and coordination with portfolio management, legal and operations teams.
• Perform trade compliance testing and validation to support client certification and other regulatory reporting requirements.
• Participate in the portfolio compliance team’s planning and execution of the compliance rule library migrations under management direction.

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