Victory Capital Management Brooklyn, OH, USA
Sep 12, 2019
Job Details Description 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%.