Senior Compliance Officer

Victory Capital • Boston, MA

14h

About The Position

You will lead Victory Capital's Advertising Review team, overseeing the review and approval of marketing and communications materials across our registered investment adviser (RIA) and broker-dealer platforms. In this role, you will serve as a strategic partner to Marketing, Product, Fund Administration, Portfolio Management, and Legal—ensuring compliant, accurate, and timely execution while elevating and scaling the advertising review function. You will provide expert guidance on complex regulatory matters including the SEC Marketing Rule, FINRA advertising requirements, and ETF-specific marketing compliance. This role demands both strategic thinking and hands-on execution, particularly during peak reporting cycles, and offers significant visibility with executive leadership and the opportunity to build a best-in-class marketing compliance program within a fast-growing, dynamic global platform.

Requirements

• Bachelor's degree required; JD or advanced degree a plus.
• 8+ years of compliance experience within asset management, ETF issuers, investment adviser, or broker-dealer platforms.
• Expert-level understanding of SEC and investment company advertising compliance, with hands-on marketing review experience.
• Active FINRA Series 7 and Series 24 licenses required.
• Excellent writing skills with strong attention to grammar and punctuation.
• Ability to thrive in a fast-paced, growth-oriented environment that rewards accountability, initiative, and results.
• Strong leadership capabilities and emotional intelligence to engage and align cross-functional teams.
• Adaptability to bridge differences in communication styles and professional expectations across teams and offices.
• Proficiency in Microsoft Office tools (Excel, PowerPoint, Word).

Nice To Haves

• Experience in both RIA and broker-dealer regulatory oversight.
• Experience supervising and developing compliance professionals.
• Strong familiarity with GIPS 2020.
• Advanced Red Oak AdMaster administrative capabilities including workflow configuration, rule libraries, reporting, entitlements, and system governance.
• Demonstrated knowledge of the investment company ecosystem, including active and passive management strategies, holdings disclosure requirements, selective disclosure rules, registration processes, prospectus content and N-1A requirements, performance portability, and share class structures.
• Familiarity with ETF capital markets mechanics (creation/redemption process, AP relationships, and market making).
• Direct experience managing FINRA and SEC examinations.

Responsibilities

• Advertising & Communications Oversight (RIA & Broker-Dealer)
• SEC Marketing Rule Leadership
• ETF Marketing Oversight
• Leadership & Team Management
• Technology & Workflow Oversight

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: Senior