Senior Compliance Officer, Trade Compliance

Senior Compliance Officer, Trade Compliance

About Victory Capital: 

Victory Capital is a diversified global asset management firm and employs a next-generation business strategy that combines 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 Business, Victory Capital offers a wide array of investment products and services, including mutual funds, ETFs, separately managed accounts, alternative investments, third-party ETF model strategies, collective investment trusts, private funds, a 529 Education Savings Plan and brokerage services.

Victory Capital is headquartered in San Antonio, Texas, with offices and investment professionals in the U.S. and around the world. To learn more please visit www.vcm.com or follow Victory Capital on Facebook, Twitter, and LinkedIn.

General Summary and Purpose:

You will lead a team of portfolio compliance professionals within VCM’s Legal and Compliance department, providing centralized regulatory oversight and trade compliance guidance. In this role, you will manage daily trade compliance monitoring, rule implementation, client onboarding and escalation processes, while ensuring alignment with regulatory requirements, client guidelines and internal policies and procedures. You will have the opportunity to collaborate closely with portfolio management, operations, legal and sales, while receiving cross-training in select non-core compliance functions to support broader department initiatives.

You will report to the Chief Compliance Officer

You Will:

• Lead and develop a high-performing team responsible for daily monitoring of pre- and post-trade activity across multiple asset classes and account types.
• Oversee and maintain the portfolio trade compliance program, with a focus on coding, testing, and managing rules within Charles River (CRD).
• Manage a wide range of compliance tasks, including the interpretation of client and prospectus guidelines, rule coding, and regulatory adherence to various standards and regulations including the Investment Company Act of 1940, UCITS Directives and CSSF.
• Conduct reviews of potential active and passive UCITS breaches, including detailed root cause analysis, documentation of findings, coordination with portfolio managers, and timely escalation to senior management to ensure effective remediation.
• Prepare detailed incident reports for senior management and client reporting.
• Support new account onboarding, including interpretation of client guidelines, rule analysis, coding and coordination with portfolio management, legal and operations teams.
• Review and validate trade compliance tests to support client certification and other regulatory reporting requirements.
• Lead the portfolio compliance team’s efforts in planning and executing current and future compliance rule library migrations.

You Have:

• 5 years of progressive experience in portfolio compliance, including at least 2 years in a managerial or team lead role.
• Experience with overseeing compliance monitoring systems with an emphasis on Charles River (CRD) and demonstrated knowledge of trade order management workflows.
• Ability to understand and execute complex regulatory concepts while providing clear communication and guidance to senior members of the firm.
• Experience interpreting and coding UCITS rules, reviewing client IMAs, and conducting new account onboarding from a portfolio trade compliance perspective.
• Strong working knowledge of 1940 Act requirements, UCITS guidelines, CSSF regulations, and other applicable US and international regulations governing trading and investment adviser activities.
• Vast knowledge and experience working with various asset classes including Equities, Swaps, Futures, Exchange Linked Notes (ELNs), Asset-Backed Securities and Insurance Linked Securities.
• Bachelor’s degree (or above) in a relevant field.
• MBA, JD, or advanced compliance/risk certifications (e.g., CRCP, CRCM, CIA).

Our Benefits:

Victory Capital Management 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 $125,000 - $134,000.

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. 

Salary : $125,000 - $134,000