Senior Compliance Officer - Broker Dealer

Senior Compliance Officer - Broker-DealerVictory Capital | San Antonio, TXAbout 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 12 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:

Victory Capital Services, Inc. (“VCS”) is an introducing broker-dealer with multiple lines of business, including a self-directed brokerage platform, private funds, and other direct-to-fund and direct-to-consumer offerings. It also serves as the principal distributor of Victory Capital’s mutual funds. You will be a member of a team of legal and compliance professionals who provide centralized regulatory support and guidance to our institutional, intermediary, and direct-to-consumer channels.

You will report to the Chief Compliance Officer.

You Will:

 

•             Maintain and enhance the broker-dealer compliance program;

•             Represent the broker-dealer in connection with regulatory examinations and inquiries;

•             Create and adopt expanded compliance procedures to support new lines of business, with a focus on retail product and services offerings;

•             Advise various business partners on various risk and compliance matters;

•             Oversee training and supervision for 200 registered representatives and 100 non-registered transfer agent representatives;

•             Coordinate and conduct compliance testing, monitoring, and reporting to the BD executive officer (3120 testing and 3130 reports), BD board, and the boards of the Victory mutual funds; and

•             Review marketing materials for a diverse suite of products including mutual funds, ETFs, private funds, advisory services and separately managed accounts.

You Have:

 

•             5+ years of experience as a compliance professional. Broker-dealer experience preferred (but not required);

•             Experience with mutual funds and ETFs;

•             Knowledge of FINRA rules and regulations and experience engaging with regulators;

•             Experience reviewing and approving marketing materials;

•             Experience with development, maintenance, testing and annual reporting of a compliance program under FINRA Rules 3120/3130;

•             FINRA Series 7, 24 licenses (or must obtain within 90 days of hire); and

•             MBA, advanced risk/compliance certification (CIA, CRMA, CRCP), or Juris Doctorate preferred (but not required)

Our Benefits:

Victory Capital 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 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.