Senior Regulatory Administration Specialist

Senior Regulatory Administration Specialist

San Antonio, TX 

 

About Victory Capital:

Victory Capital (NASDAQ: VCTR) is a diversified global asset management firm. We serve institutional, intermediary, and individual clients through our Investment Franchises and Solutions Platform, which manage specialized investment strategies across traditional and alternative asset classes. Our differentiated approach combines the power of investment autonomy with the support of a robust, fully integrated operational and distribution platform. Clients have access to focused, top-tier investment talent equipped with comprehensive resources designed to deliver competitive long-term performance.

Victory Capital is headquartered in San Antonio, Texas. To learn more, visit www.vcm.com or follow us on Facebook, Twitter (X), and LinkedIn.

General Summary and Purpose:

Victory Capital Management is seeking a full-time Senior Regulatory Administration Specialist to join the Fund Administration team. This role oversees all aspects of board governance for 1940 Act mutual funds and manages the review, editing, maintenance, processing, and regulatory filing of fund documents, including prospectuses and statements of additional information.

You will report to the Senior Manager of Board Governance.

You Will:

Work with both the board governance team, under the direction of the Senior Manager of Board Governance, and the filings team, under the direction of the Regulatory Administration Director. Board Governance

Board Governance

• Prepare materials for Board meetings for multiple boards of directors– including drafting agendas, memoranda, resolutions, and minutes – and ensure the timely distribution of board materials to Board members and relevant parties in advance of the meetings.
• Coordinate with internal departments and external business partners to compile board materials in an accurate and timely manner.
• Maintain recurring agenda of governance items.
• Maintain fund contracts and agreements approved by the Boards.
• Assist with the coordination of board members and presenters during board meetings.
• Prepare and manage annual directors’ and officers’ questionnaires using Diligent Boards.
• Assist with coordinating accommodations for board member travel to meetings.
• Support the annual Section 15(c) contract renewal process, including compilation and organization of materials provided to the Board for review of investment advisory agreements. Fund Filings (Mutual Funds and ETFs)

Fund Filings (Mutual Funds and ETFs)

• Coordinate with internal departments and external business partners to request, create, and prepare mutual fund regulatory documents (i.e., prospectus and statement of additional information disclosure) to be submitted to the Securities and Exchange Commission (SEC) or other regulatory bodies and agencies.
• Coordinate and manage the annual mutual fund prospectus process, which includes creating timelines, input of changes during the review process, review/send document proofs to the printer, and file documents with the SEC by required deadlines.
• Review Form N-1A and other industry regulatory guidelines to determine the impact on the regulatory documents and work to implement document disclosure changes as needed.
• Develop and maintain a thorough working knowledge of the content management systems used during the regulatory update process.
• Maintain responsibility for the printing and fulfillment of mutual fund prospectuses, supplements, and other financial reports.
• Establish and maintain business relationships with outside vendors and business partners, including print vendors and content management system service providers, and review service quality standards and service levels.
• Help facilitate various Fund Administration projects (i.e., creating new funds/share classes, portfolio management changes, fund consolidations, and other related items).
• Identify and support opportunities to improve, automate, or streamline regulatory filing and governance workflows.
• Support the proxy solicitation and printing process as needed.
• Monitor the Fund website for functionality and accuracy with respect to the mutual fund regulatory documents.
• Perform other related duties as assigned.

You Have:

• Paralegal Certification, BA, or BS degree (preferably in Finance, Business Administration, Legal Studies, or a related field). Work experience in lieu of a degree may be considered.
• 5-7 years of experience in a financial services environment, preferably working with Boards of Directors
• Advanced proficiency in Microsoft Word, Excel, and Adobe Acrobat
• Experience wi