Victory Capital is a diversified global asset management firm. We operate a next-generation business model combining 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 10 autonomous Investment Franchises and a Solutions Platform, Victory Capital offers a wide array of investment styles and investment vehicles including actively managed mutual funds, separately managed accounts, active ETFs, multi-asset class strategies, custom-designed solutions and a 529 College Savings Plan.
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 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.
Interact with operational counterparts to resolve CIP issues on new account applications.
Assist the AML Compliance Officer with investigations 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, monitoring sales supervision controls, 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
Experience with development, maintenance, and use of FIS Compliance Manager, Actimize ActOne, My Compliance Office, or similar compliance software preferred, but not required
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 great Medical, Dental, Vision plans, Flexible PTO, Family Medical and Disability Leaves, and a 401k plan with a generous employer match.
We are committed to equal employment opportunity regardless of race, color, ancestry, religion, sex, national origin, sexual orientation, age, citizenship, marital status, disability, gender, gender identity or expression, or veteran status. We are proud to be an equal opportunity workplace.
Seniority level
Entry level
Employment type
Full-time
Job function
Legal
Industries
Investment Management
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