Compliance OfficerBoston, MA
General Summary and Purpose:Victory Capital Management Inc. ("VCM") is a U.S. based investment adviser registered with the Securities and Exchange Commission ("SEC") and subject to the Investment Advisers Act of 1940, as amended and the rules promulgated thereunder (the "Advisers Act").
You will join a team of legal and compliance professionals who provide centralized regulatory support and guidance to VCM. You will have core responsibilities in VCM's investment adviser compliance program and an opportunity to contribute to the success of Victory's broker-dealer and mutual fund compliance programs. You will also be cross trained on certain non-core compliance functions.
You will report to the Senior Compliance Officer.
You Will:- Work to maintain and enhance the advisory compliance program.
- Conduct timely reviews and resolution of compliance alerts generated by internal surveillance systems, investigating potential Code of Ethics violations and documenting case outcomes inaccordance with firm policies.
- Enhance compliance procedures to support existing processes, regulatory changes and new lines of business.
- Manage regulatory and client reporting obligations across defined reporting cycles, related to the Code of Ethics and associated reporting.
- Serve as a trusted compliance resource and subject matter expert for internal business partners, providing guidance on regulatory risk, new product initiatives, and day-to-day compliance matters.
- Oversee aspects of ongoing training and reporting requirements for associated people including annual and quarterly reporting.
- Review and approve marketing and advertising materials across a diverse product suite, including mutual funds, ETFs, private funds, and separately managed accounts, for compliance with SEC Marketing Rule requirements and firm standards.
You Have:- 3-5+ years of experience as a compliance professional preferred (but not required). Investment Advisor 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.
- FINRA Series 7, 24 licenses (or must obtain within 90 days of hire)
- MBA, advanced risk/compliance certification (CIA, CRMA, CRCP), or Juris Doctorate preferred (but not required)
Our 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.
Target Compensation:The target base salary range for this position is $96,050 - $113,000.
Salaries are determined based on internal equity, internal salary ranges, market data/ranges, applicant's
skills and prior relevant experience, certain degrees, and certifications. Victory Capital Management operates a pay-for-performance compensation philosophy and total
compensation may vary based on role, location, department and individual performance.
Victory Capital Management's total compensation package includes the opportunity for annual
compensation bonuses and/or commissions and a generous benefits package.
