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Victory Capital · 2 days ago

Advisory Compliance Analyst

Boston, MA

Full-time

Onsite

Entry, Mid Level

$70K/yr - $110K/yr

2+ years exp

Victory Capital is a diversified global asset management firm seeking an Advisory Compliance Analyst to join their investment adviser compliance team. The role involves managing compliance programs, supporting the Code of Ethics program, and assisting with regulatory inquiries and examinations.

Asset ManagementFinancial ServicesVenture Capital

Responsibilities

Join and help develop a high-performing investment adviser compliance team

Support the Code of Ethics (COE) program by facilitating employee certifications, managing the pre-clearance process, and assisting in the preparation of necessary reports for the CCO and senior management

Partner with the Senior Compliance Officer to manage, revise, and update the registered investment adviser’s compliance program

Assist with regulatory examinations and inquiries, including information gathering and response preparation

Support compliance testing and monitoring activities, and report findings to the CCO and senior management

Collaborate with compliance personnel on registration, licensing, and supervisory programs and procedures related to advisory activities

Qualification

Compliance program managementSecurities regulations knowledgeInstitutional asset managementRegulatory inquiries experienceCompliance testingMonitoringCommunication skillsTeam collaboration