Senior Compliance Officer - Investment Advisor

Senior Compliance Officer - Investment Adviser

Boston, MA

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:

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 Chief Compliance Officer.

You Will:

• Lead and further develop a high performing investment adviser compliance team;
• Maintain and enhance the investment adviser compliance program;
• Represent the investment adviser in connection with regulatory examinations and inquiries;
• Create and adopt expanded compliance procedures to support regulatory changes and new lines of business;
• Advise business partners on various risk and compliance matters;
• Manage and coordinate preparation of investment adviser related regulatory filings; and
• Coordinate and conduct compliance testing, monitoring, and reporting to the executive committee and board of directors.

You Have:

• 5+ years of experience as an investment adviser compliance professional;
• Knowledge of securities rules and regulations and experience engaging with regulators;
• Experience with development, maintenance, testing and annual reporting of a compliance program under SEC Rule 206(4)-7;
• Ability to able to deal effectively with investment personnel and understand a variety of complex investment products; and
• 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 $130,000 - $160,000.

Salaries are determi