Job summary
Job post source
This job is directly from Victory Capital
Job overview
The Senior Compliance Officer - Investment Advisor at Victory Capital leads the investment adviser compliance team and ensures regulatory compliance to support the firm's asset management operations.
Responsibilities and impact
The role involves leading the compliance team, maintaining the compliance program, handling regulatory examinations, advising on risk and compliance, managing regulatory filings, and conducting compliance testing and reporting.
Compensation and benefits
The position offers a base salary range of $130,000 to $160,000 with potential bonuses, comprehensive medical, dental, vision plans, flexible PTO, family medical and disability leaves, tuition reimbursement, and a 401k plan with employer match.
Experience and skills
Candidates need 5+ years in investment adviser compliance, knowledge of securities regulations, experience with SEC compliance programs, and the ability to work with complex investment products; advanced degrees or certifications are preferred but not required.
Work environment and culture
Victory Capital emphasizes equal employment opportunity and values diversity and inclusion in its workplace environment.
Company information
Victory Capital is a global asset management firm with a centralized operating platform offering diverse investment products and services, headquartered in San Antonio, Texas.
Team overview
The candidate will join a legal and compliance team providing centralized regulatory support, reporting to the Chief Compliance Officer.
Job location and travel
The position is based in Boston, MA, with Victory Capital's headquarters in San Antonio, Texas.
Unique job features
The role includes cross-training on non-core compliance functions and involvement in multiple compliance programs, distinguishing it within the compliance field.
Company overview
Victory Capital is an integrated multi-boutique asset management firm that provides a diverse range of investment products and services to institutional and retail investors. The company generates revenue through management fees and performance-based fees from its various investment strategies, which include actively managed equity and fixed income, as well as alternative investments. Founded in 2013, Victory Capital has grown through strategic acquisitions and partnerships, expanding its capabilities and client base. The firm is known for its client-focused approach and commitment to delivering superior investment outcomes.
How to land this job
Tailor your resume to emphasize your 5+ years of experience in investment adviser compliance, showcasing knowledge of SEC regulations and your ability to lead compliance teams effectively.
Highlight your experience developing, maintaining, and testing compliance programs under SEC Rule 206(4)-7, and your skills in managing regulatory filings and examinations.
Apply through multiple channels such as Victory Capital's corporate career site, LinkedIn, and reputable job boards to maximize your application visibility.
Connect on LinkedIn with legal and compliance professionals at Victory Capital, especially those in the investment adviser division; use ice breakers like commenting on recent regulatory changes or Victory Capital's approach to compliance innovation.
Optimize your resume for ATS by including keywords like 'investment adviser compliance,' 'SEC Rule 206(4)-7,' 'regulatory filings,' 'compliance testing,' and 'risk management' to ensure it passes automated screenings.
Use Jennie Johnson's Power Apply feature to automate tailored resume submissions, identify all relevant application portals, and find LinkedIn contacts for networking, allowing you to focus your energy on interview preparation and skill enhancement.
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