Senior Compliance Officer

Victory Capital • San Antonio, TX

13h • $110,000 - $130,000

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)
• Lead the review and approval of retail, institutional, and intermediary marketing materials across multiple distribution channels.
• Ensure compliance with SEC Rule 206(4)-1 (Marketing Rule), FINRA Rules 2210 and 2212, SEC Rule 482, FINRA Guidance letters, and firm policies and procedures.
• Provide commercially practical, risk-balanced guidance to business partners supporting compliant marketing execution.
• SEC Marketing Rule Leadership
• Serve as internal subject matter expert on SEC Rule 206(4)-1 (Marketing Rule), including its Adopting Release and subsequent SEC guidance.
• Provide authoritative guidance on net/gross performance presentation; hypothetical, extracted, related, and predecessor performance; testimonials and endorsements; and third-party ratings.
• Interpret and operationalize SEC guidance in policies, procedures, and workflows.
• Support SEC examinations and regulatory inquiries related to advertising compliance.
• ETF Marketing Oversight
• Serve as strategic advisor to the business and review team as the firm scales its active ETF capabilities for global distribution.
• Review ETF-related communications including fact sheets, website content, pitchbooks, video and webinar presentations, social media, and product launch materials.
• Evaluate ETF performance presentations, rankings, and back-tested data, and create and maintain ETF-specific disclosures.
• Partner with Product and Portfolio Management teams to ensure marketing accurately reflects ETF structure and risks.
• Leadership & Team Management
• Lead, mentor, and develop a team of advertising compliance reviewers ranging from newly licensed professionals to colleagues with 20+ years of experience.
• Establish SLAs and workflow processes to ensure timely, risk-based reviews with quality assurance controls and escalation protocols.
• Identify opportunities to scale the function through process improvements and technology enhancements.
• Coordinate effectively across multiple offices and support a multi-generational team with diverse communication styles and work approaches.
• Technology & Workflow Oversight
• Oversee and optimize the firm's advertising review platform, including its Disclosure Library, utilizing Red Oak AdMaster, Excel, PowerPoint, Word, and Litera Compare.
• Drive innovation by identifying and implementing AI and emerging technologies to revolutionize workflows, increase efficiency, and enhance the quality and scalability of advertising review processes.

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