Deputy Chief Compliance Officer- Investment Advisor

Deputy Chief Compliance Officer – Investment Advisor Locations

BOSTON, MA

General Summary and Purpose The Deputy Chief Compliance Officer serves as a senior leader within the Compliance function of a U.S.-based asset management firm. Reporting directly to the Chief Compliance Officer (CCO) of the registered investment advisor, this individual plays a critical role in maintaining the integrity of the firm's compliance program — overseeing regulatory adherence, managing risk, and fostering a culture of ethical conduct across investment, operational, and client-facing teams. You will report to the Head of Compliance. You Will Assist the CCO of the registered investment advisor and the CCO of the mutual funds in designing, implementing, and administering the firm's Rule 206(4)-7 and Rule 38a-1 compliance programs, including maintaining and updating policies and procedures designed to prevent violations of the federal securities laws. Oversee the preparation and presentation of compliance reports, including annual program reviews, material compliance matter disclosures, and ad hoc updates. Partner with external counsel, fund administrator, transfer agent and custodian to support fund activities. Implement and oversee pre- and post-trade compliance monitoring for portfolios, ensuring adherence to investment restrictions, concentration limits, liquidity requirements, and applicable regulatory guidelines. Coordinate compliance review of regulatory filings, including Form ADV, Form N-CEN, Form N-PORT, Form N-PX, and prospectus/SAI updates, in collaboration with legal and fund operations teams. Monitor evolving regulatory requirements and ensure firm policies, procedures, and controls remain current and effective. Identify, assess, and mitigate compliance risks across investment management, trading, marketing, and distribution activities. Lead periodic compliance testing, surveillance, and monitoring activities; elevate material findings to the CCO and senior management as appropriate. Develop and deliver compliance training programs to promote awareness and a strong culture of compliance firm-wide. Coordinate responses to SEC examinations, regulatory inquiries, and internal/external audits. Manage and mentor compliance staff, supporting professional development and operational excellence within the team. You Have 10+ years of compliance experience within the asset management or investment advisory industry. Prior leadership experience preferred. Bachelor’s degree required. J.D., MBA, or advanced degree in a related field strongly preferred. Deep understanding of the Investment Advisers Act of 1940, Investment Company Act of 1940, and relevant SEC rules, including Rule 206(4)-7, Rule 38a-1, Rule 22e-4, Rule 18f-4, and related guidance. Strong analytical, written, and verbal communication skills and ability to navigate complex regulatory landscapes and advise senior stakeholders with clarity and confidence. 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 $170,000 - $200,000. 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. Equal Employment Opportunity 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. Equal Opportunity Employer; This employer is required to notify all applicants of their rights pursuant to federal employment laws. For further information, please review the Know Your Rights notice from the Department of Labor. #J-18808-Ljbffr Default Brand