Compliance Officer, Marketing Review

Reposted 20 Days Ago
Be an Early Applicant
Boston, MA, USA
In-Office
110K-130K Annually
Senior level
Fintech
The Role
Lead the Advertising Review team to review and approve marketing and communications across RIA and broker-dealer platforms. Provide SEC/FINRA/ETF marketing compliance expertise, support examinations, optimize review workflows and technology (including Red Oak AdMaster), and lead, mentor, and scale a distributed team to ensure timely, risk-based reviews.
Summary Generated by Built In
Compliance Officer, Marketing Review Boston, MAAbout 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:

We are seeking a mid-level professional to work in our Marketing Compliance team, supporting both our registered investment adviser (RIA), broker-dealer, and direct platforms. You will actively review and approve advertising and marketing materials for retail, institutional, and intermediary distribution channels, and work directly with colleagues across the company to produce compliant and effective collateral.

This role demands both interpreting rules and regulations and hands-on marketing material review for a diverse product suite. We are looking for a team player with strong analytical skills and good common sense. During peak periods, particularly around quarter-end reporting cycles, your ability to prioritize, exercise sound judgment, and collaborate will be critical.  Outside of peak periods, you will also be expected to contribute to the success of overall compliance program. This may include various editorial tasks or supervisory functions, as aligned with program needs and/or your interests and abilities.

You will report to the Senior Compliance Officer.

You Will:
  • Interpret and apply knowledge of rules and regulations to the review and approval of marketing materials, including advertising, sales literature, institutional material, digital communications, advisory programs, and other types of communications to ensure compliance with applicable regulations.
  • Review and approve marketing materials for registered investment products across multiple investment franchises, including mutual funds, active/passive ETFs, and UCITS marketed to US Offshore market.
  • Review and approval of institutional products and services materials, including strategy, separately managed accounts, collective investment trusts, and model portfolio delivery materials.
  • Assist and seek to enhance documentation of various policies, procedures, and communications to business units.
  • Act as a collaborative partner to Marketing, Portfolio Management, Product, Fund Administration, and Legal to provide accurate, compliant, commercially practical guidance.
  • Identify opportunities to implement process improvements and drive innovation with technology, including optimizing the firm’s use of Red Oak and internal AI tools.
  • Support regulatory examinations and inquiries related to advertising compliance.
  • Actively participate in various compliance group projects and initiatives.
You Have:
  • Bachelor's degree; JD or advanced degree a plus.
  • 3+ years of compliance experience within asset management, ETF issuers, investment adviser, or broker-dealer platforms.
  • Strong understanding of SEC, FINRA, MSRB and other related securities advertising compliance, with hands-on marketing review experience.
  • Active FINRA Series 7 and Series 24 licenses, or ability to obtain within 120 days.
  • Excellent writing skills with strong attention to grammar and punctuation.
  • Ability to demonstrate resourcefulness, creativity, and initiative by identifying opportunities to enhance existing processes and implementing, as appropriate.
  • Experience working in Red Oak/AdMaster (strong plus)
  • Proficiency in Microsoft Office tools (Excel, PowerPoint, Word)
Our Benefits:

Victory Capital Management Inc. 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 $110,000 - $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. 


Equal Opportunity Employer
This employer is required to notify all applicants of their rights pursuant to federal employment laws. For further information, please review the Know Your Rights notice from the Department of Labor.

Skills Required

  • Bachelor's degree
  • 8+ years of compliance experience within asset management, ETF issuers, investment adviser, or broker-dealer platforms
  • Expert-level understanding of SEC and investment company advertising compliance with hands-on marketing review experience
  • Active FINRA Series 7 and Series 24 licenses
  • Excellent writing skills with strong attention to grammar and punctuation
  • Ability to thrive in a fast-paced, growth-oriented environment and deliver results
  • Strong leadership capabilities and emotional intelligence to engage and align cross-functional teams
  • Adaptability to bridge differences in communication styles and professional expectations across teams and offices
  • Proficiency in Microsoft Office tools (Excel, PowerPoint, Word)
  • JD or advanced degree
  • Experience in both RIA and broker-dealer regulatory oversight
  • Experience supervising and developing compliance professionals
  • Strong familiarity with GIPS 2020
  • Advanced Red Oak AdMaster administrative capabilities (workflow configuration, rule libraries, reporting, entitlements, governance)
  • Knowledge of investment company ecosystem, ETF mechanics, disclosure and registration processes, and share class structures
  • Direct experience managing FINRA and SEC examinations
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The Company
HQ: San Antonio, TX
395 Employees

What We Do

Victory Capital is a diversified global asset management firm. The Company operates a next-generation business model that combines boutique investment qualities with the benefits of a fully integrated, centralized operating and distribution platform. Our differentiated model is comprised of ten autonomous investment franchises, each with an independent culture and investment approach. Additionally, we offer a Solutions Platform, featuring our VictoryShares ETF brand. Victory Capital provides specialized investment strategies to institutions, intermediaries, retirement platforms and individual investors. We offer a diverse array of independent investment approaches and innovative investment vehicles designed to drive better investor outcomes. This includes actively managed mutual funds and separately managed accounts, rules-based and active ETFs, multi-asset class strategies, custom solutions and a 529 College Savings Plan. We are headquartered in San Antonio, TX, with offices in Cleveland, Cincinnati and Rocky River, OH; San Francisco, CA; Denver, CO; Birmingham, MI; New York, NY; Boston, MA; and Des Moines, IA. Additionally, we have investment professionals in London, Hong Kong and Singapore. To learn more about Victory Capital, visit our website: https://www.vcm.com

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