Advisory Compliance Analyst

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:

This role will join a newly formed investment adviser compliance team, with responsibilities spanning the Code of Ethics program, compliance testing, regulatory inquiries, and program enhancements. The position partners closely with the Senior Compliance Officer to manage reporting, monitoring, and advisory oversight while ensuring alignment with business objectives. The ideal candidate general institutional asset management or fund advisory compliance experience, knowledge of securities regulations, and the ability to work effectively in a fast-paced environment.

You will report to the Senior Compliance Officer

You Will:

• Join and help develop a high-performing investment adviser compliance team.
• Support the Code of Ethics (COE) program by facilitating employee certifications, managing the pre-clearance process, and assisting in the preparation of necessary 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.
• Support compliance testing and monitoring activities, and report findings to the CCO and senior management.
• Collaborate with compliance personnel on registration, licensing, and supervisory programs and procedures related to advisory activities.

You have:

• Minimum of 2-5+ years of experience as an management firm compliance professional 
• Background in institutional asset management, fund advisory or registered investment  advisory with experience 
• Strong familiarity with investment adviser securities trading practices and monitoring requirements .
• Solid knowledge of securities rules and regulations; direct experience engaging with regulators is a plus
• Hands-on experience with the operation of compliance programs under SEC Rule 206(4)-7t.

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 $70,000 - $ 110,000.

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