Compliance Analyst

Compliance Analyst

San Antonio | Boston

About 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:

You will be a member of a centralized team that has responsibility for the development, assessment and monitoring of the compliance program of a Registered Investment Adviser, affiliated Mutual Funds, and Broker-Dealer.

You will report to a Senior Compliance Officer.

You Will:

• Review reports and alerts and conduct other monitoring activities related to the Anti-Money Laundering (AML) Program and Customer Identification Program (CIP) of the Broker-Dealer, Investment Adviser, and affiliated Mutual Funds.
• Interact with operational counterparts to resolve CIP issues on new account applications.
• Assist the AML Compliance Officer with investigations, preparing SAR filings, and other AML program tasks as needed.
• Work under the supervision of one or more compliance officers on a variety of compliance program tasks and projects, which may include marketing review, Code of Ethics monitoring, testing, policy research and updates, internal email surveillance, vendor oversight, and others as business needs may dictate.
• Support programs by identifying compliance risks and collaborating with compliance officers to develop resolutions to manage these risks. Develop knowledge regarding anti-money laundering, marketing materials and sales programs, product development, communications review and other compliance program subjects.

You Have:

• A Bachelor’s degree and 1+ years of experience working in a compliance, audit, testing, or similar function at a large financial services firm
• Demonstrated ability to manage shifting priorities
• Strong verbal and written communication skills
• Proficient with computer software typically used in an office environment, such as Microsoft Word, Excel, PowerPoint, Adobe Acrobat Professional, or similar programs
• Basic knowledge of Investment Advisers Act, Investment Company Act, FINRA rules and/or SEC regulations preferred, but not required
• Desire to pursue FINRA Series 7 and 24 licenses preferred, but not required
• CAMS, CFE or other similar advanced designation preferred, but not required

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 $58,650 - $69,000.

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.