Marketing Reviewer/Compliance Officer - Broker-Dealer

Victory Capital Management Inc. Brooklyn , OH 44144

Posted 3 months ago

Victory Capital Advisers, Inc. ("VCA") is a limited purpose broker-dealer that distributes the Victory family of mutual funds. As a member of our compliance team, you will be based in San Antonio, TX or Cleveland, OH. You will be a member of a centralized team that has overall responsibility for the firm's compliance program including developing policies and procedures, training, testing and assessing the compliance programs of the broker-dealer as well as the mutual fund complex and the registered investment adviser, Victory Capital Management Inc.

Essential Functions

  • Help administer the overall advertising and sales material review program including products such as separate accounts, mutual funds, 529 plan securities and ETFs.

  • Assist with the maintenance of policies and procedures to ensure that the broker-dealer compliance program meets applicable laws and regulations and ensure the advisor's operations are conducted in compliance with applicable policies and procedures.

  • Responsible for directing, developing, implementing and maintaining compliance monitoring, risk assessments, reporting, testing, tracking and applying regulatory priorities as well as industry best practices.

  • Ensure the firm has reasonably designed written supervisory procedures (WSPs) to supervise the activities of its associated persons and the types of businesses in which it engages.

  • Support compliance efforts related to advertising, supervisory oversight, training, email surveillance, branch office exams, regulatory examinations, FINRA licensing and registrations and anti-money laundering and call center supervision.

  • Work with senior management, Legal, Compliance, HR, Marketing, registered representatives and other key constituencies to train, promote and enhance a culture that encourages ethical conduct and a commitment to compliance with applicable laws and regulations.

  • Monitor the effectiveness of established compliance processes and controls and recommend and implement enhancements.

  • Assist regulators, auditors, compliance personnel and business unit management with regulatory exams and inquiries.

  • Provide compliance support for new product initiatives.

  • Assist with the supervision of sales related activities.

  • Integrate industry benchmarking and best practices through ongoing research, education and industry affiliations.

Required Qualifications

  • Bachelor's Degree required and at least 7 years of applicable experience working in the securities industry, working for an investment adviser or broker-dealer.

  • Thorough knowledge of the broker-dealer business from a product, corporate governance, compliance and administrative perspective.

  • Strong knowledge of FINRA, MSRB and SEC advertising rules and regulations.

  • Strong subject matter expertise in marketing review, including the development and maintenance of a marketing material and collateral review program for products such as separate accounts, mutual funds, ETFs, 529 plan securities, collective trusts and wrap programs.

  • Excellent ability to interpret and communicate regulatory guidance.

  • Ability to work well under pressure and under tight deadlines.

  • Excellent verbal, written and interpersonal communication skills.

  • Ability to collaborate across business lines to handle conflicts.

  • Advanced Microsoft skills.

  • Ability to prioritize workload in order to meet deadlines.

  • Ability to work independently and adapt to changing and competing priorities.

  • Series 7 and 24 licenses.

Preferred Qualifications

  • Series 51 or 53 license.

  • Advanced degree.

  • Well-versed in investment processes, securities operations, and proper governance practices.

  • At least 5 years of compliance experience, or related experience in driving initiatives related to governance and control functions, or deep knowledge in investment adviser regulatory operations.

  • Proven ability to interact with and influence members of senior management and a highly entrepreneurial and independent minded sales force.

  • Experience initiating, directing, developing, implementing and maintaining written policies and procedures governing compliance activities.

  • Advanced understanding of '40 Act, Advisers Act, ETF, MSRB and NFA regulations and industry best practices.

  • Experience coordinating broker-dealer or registered investment adviser regulatory exams and responses.

  • Ability to travel up to 5%.

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Marketing Reviewer/Compliance Officer - Broker-Dealer

Victory Capital Management Inc.