Compliance Analyst/Officer

Brooklyn, Ohio, San Antonio, TX
Salary will be commensurate with experience, Great Benefits Package!
13 Oct 2021
12 Nov 2021
Employment Type
Full Time
About Victory Capital:

Victory Capital is a diversified global asset management firm. We operate a next-generation business model combining 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 10 autonomous Investment Franchises and a Solutions Platform, Victory Capital offers a wide array of investment styles and investment vehicles including actively managed mutual funds, separately managed accounts, active ETFs, multi-asset class strategies, custom-designed solutions and a 529 College Savings Plan.

General Summary and Purpose:

You will be a member of a centralized team that has responsibility for the development, assessment and monitoring of the compliance program of an Adviser and/or Broker-dealer.

You will report to the Senior Compliance Officer.

You Will:
  • Help administer the Victory Capital's compliance programs to prevent illegal, unethical, or improper business practices, identify and then reduce or eliminate conflicts of interest, and follow the firm's fiduciary responsibility to clients.
  • Update compliance procedures. Ensure that compliance manuals and desktop procedures are aligned and accurately reflect current laws, rules, other regulatory requirements and management intent.
  • Identify and establish the compliance program goals for assigned line(s) of business, products/services and applicable regulations. Communicate and socialize those goals to the business. Coordinate compliance monitoring program and oversee preparation of compliance reports.
  • Conduct testing and prepare compliance reports. Identify issues, escalate through proper governance channels. Analyze assessments of compliance risk and internal controls. Research regulatory developments. Assist, in updating or implementing new/enhanced processes to ensure compliance with new regulatory requirements.
  • Help oversee employee and client trading by ensuring compliance with applicable regulatory and firm policy requirements. Design and deliver online and in-person regulatory compliance training.
  • Provide client services such as preparing requested documentation for due diligence questionnaires and internal reporting. Use your experience to align customer needs and satisfaction with the business.
  • Support programs by identifying compliance risks and providing resolutions to manage these risks. Be a resource regarding compliance impact on such matters as anti-money laundering, marketing materials and sales programs, product development, communications review and other projects.
You Have:
  • A Bachelor's Degree and 2+ years of experience with an investment adviser or broker-dealer compliance program, related audit position, or a similar role
  • Demonstrated ability performing project management implementation and execution
  • Knowledge of Investment Advisers Act, Investment Company Act, FINRA rules and SEC regulations
  • Experience with development, maintenance, testing and annual reporting of a broker-dealer or adviser compliance program under FINRA rules 3130/3120 Or the Investment Advisers Act Rule 206(4)-7
  • Optional FINRA Series 7, 24, 63, 65 Or 66 licenses
Our Benefits:

Victory Capital Management offers great Medical, Dental, Vision plans, Flexible PTO, Family Medical and Disability Leaves, and a 401k plan with a generous employer match.

We are committed to equal employment opportunity regardless of race, color, ancestry, religion, sex, national origin, sexual orientation, age, citizenship, marital status, disability, gender, gender identity or expression, or veteran status. We are proud to be an equal opportunity workplace.

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