Advisory Compliance Officer

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.

This role joins the Investment Adviser Compliance team with broad responsibility across the Code of Ethics program, compliance testing, regulatory inquiries, and program enhancements. You will partner closely with the Senior Compliance Officer and CCO on reporting, monitoring, and advisory oversight. You will need to balance regulatory rigor with business objectives. Reports directly to the Senior Compliance Officer.

• • Join a high-performing investment adviser compliance team
•  Coordinate annual compliance testing and monitoring activities and report findings to senior leadership
•  Advise business partners on risk and compliance matters to support business objectives while ensuring regulatory adherence
•  Support the Code of Ethics program, facilitating employee certifications, managing pre-clearance, and preparing reports for the CCO and senior management
•  Partner with the Senior Compliance Officer to manage, revise, and update the registered investment adviser's compliance program
•  Assist with regulatory examinations and inquiries, including information gathering and response preparation
•  Collaborate on registration, licensing, and supervisory programs related to advisory activities

•  Hands-on experience designing and operating compliance programs under SEC Rule 206(4)-7
•  5–8+ years of compliance experience at an asset management firm
•  Background in institutional asset management or fund advisory
•  Strong familiarity with investment adviser securities trading practices and monitoring requirements
•  Solid knowledge of securities rules and regulations; direct regulator engagement experience a plus
•  Advanced education or credentials preferred: MBA, JD, or professional certifications (CIA, CRMA, CRCP)

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.

The target base salary range for this position is $90,000 - $ 130,000.

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.

We are committed to equal employment opportunity without regard to actual or perceived race, color, creed, religion, national origin, ancestry, citizenship status, age, sex or gender (including pregnancy, childbirth, pregnancy-related conditions, and lactation), gender identity or expression (including transgender status), sexual orientation, marital status, military service and veteran status, physical or mental disability, genetic information, height, weight, hair texture or a hairstyle historically associated with race to include braids, locks, or twists; or any other characteristic protected by applicable federal, state, or local laws and ordinances.