Senior Compliance Officer, Trade Compliance

Senior Compliance Officer, Trade Compliance

About Victory Capital: 

Victory Capital is a diversified global asset management firm and employs a next-generation business strategy that combines boutique investment qualities with the benefits of a fully integrated, centralized operating and distribution platform.

Victory Capital provides specialized investment strategies to institutions, intermediaries, retirement platforms and individual investors. With 12 autonomous Investment Franchises and a Solutions Business, Victory Capital offers a wide array of investment products and services, including mutual funds, ETFs, separately managed accounts, alternative investments, third-party ETF model strategies, collective investment trusts, private funds, a 529 Education Savings Plan and brokerage services.

Victory Capital is headquartered in San Antonio, Texas, with offices and investment professionals in the U.S. and around the world. To learn more please visit www.vcm.com or follow Victory Capital on Facebook, Twitter, and LinkedIn.

General Summary and Purpose:

You will lead a team of portfolio compliance professionals within VCM’s Legal and Compliance department, providing centralized regulatory oversight and trade compliance guidance. In this role, you will manage daily trade compliance monitoring, rule implementation, client onboarding and escalation processes, 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.

You will report to the Chief Compliance Officer

You Will:

• Lead and develop a high-performing team responsible for daily monitoring of pre- and post-trade activity across multiple asset classes and account types.
• Oversee and maintain the portfolio trade compliance program, with a focus on coding, testing, and managing rules within Charles River (CRD).
• Manage 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 reviews of potential active and passive UCITS breaches, including detailed root cause analysis, documentation of findings, coordination with portfolio managers, and timely escalation to senior management to ensure effective remediation.
• Prepare detailed incident reports for senior management and client reporting.
• Support new account onboarding, including interpretation of client guidelines, rule analysis, coding and coordination with portfolio management, legal and operations teams.
• Review and validate trade compliance tests to support client certification and other regulatory reporting requirements.
• Lead the portfolio compliance team’s efforts in planning and executing current and future compliance rule library migrations.

You Have:

• 5+ years of progressive experience in portfolio compliance, including at least 2 years in a managerial or team lead role.
• Experience with overseeing compliance monitoring systems with an emphasis on Charles River (CRD) and demonstrated