Director, Marketing Compliance

Victory Capital; San Antonio (TX); On-site; USD 110,000 - 130,000; Full time

Benefits offered by this job

Medical, Dental, Vision plans

Flexible PTO

401(k) plan with employer match

Education Tuition Reimbursement

Job summary

A leading asset management firm is seeking a Director of Marketing Compliance to oversee advertising review and compliance across various channels. The ideal candidate will have 7+ years of experience, deep regulatory expertise, and strong leadership skills. This role involves significant interaction with executive leadership and development of a robust marketing compliance program. The position offers a base salary between $110,000 to $130,000 in San Antonio, with a comprehensive benefits package.

Qualifications

• 7+ years of compliance experience within asset management or broker-dealer platforms.
• Expert-level understanding of SEC advertising compliance with hands-on experience.
• Active FINRA Series 7 and Series 24 licenses.

Responsibilities

• Lead the Marketing Compliance team overseeing the review of advertising.
• Provide expert guidance on regulatory matters including SEC and FINRA requirements.
• Establish workflow processes for timely, risk-based reviews.

Skills

Regulatory expertise

Leadership capabilities

Excellent writing skills

Proficiency in Microsoft Office

Education

Bachelor’s degree

JD or advanced degree

Tools

Red Oak

Microsoft Excel

Microsoft PowerPoint

Microsoft Word

Job description

Director, Marketing Compliance

San Antonio, TX | Boston, MA

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

We are seeking an experienced professional to lead our Marketing Compliance team, supporting both our registered investment adviser (RIA) and broker‑dealer platforms. You will actively perform and oversee the review and approval of advertising and marketing for retail, institutional, and intermediary distribution channels.

This role demands both strategic thinking and hands‑on execution. During peak periods—particularly around quarter‑end reporting cycles—your ability to prioritize, exercise sound judgment, and model commitment will be critical.

We are looking for a leader who embraces change, builds scalable processes, and strengthens the team to support sustainable growth.

You will report to the Chief Compliance Officer.

You Will

• Serve as a strategic partner to Marketing, Portfolio Management, Product, Fund Administration, and Legal—providing accurate, compliant, commercially practical guidance while elevating and scaling the advertising review function.
• Have significant visibility with executive leadership and the opportunity to build a best‑in‑class marketing compliance program within a fast‑growing, dynamic global platform.
• On a daily basis, review and approve retail, institutional, and intermediary marketing materials across multiple distribution channels, leading your team by example and delegating effectively.
• Provide expert guidance on complex regulatory matters including the SEC Marketing Rule, FINRA advertising requirements, and ETF‑specific marketing compliance.
• Lead and develop a team of advertising compliance professionals ranging from newly licensed reviewers to colleagues with 20+ years of experience, effectively coordinating across multiple offices and supporting a multi‑generational team with different communication styles and work approaches.
• Establish workflow processes to ensure timely, risk‑based reviews with quality assurance controls and escalation protocols.
• Identify opportunities to scale the function through process improvements and drive innovation with technology, including optimizing the firm’s use of Red Oak and internal AI tools.
• Support regulatory examinations and inquiries related to advertising compliance.

You Have

• You are eager to understand how the pieces fit together—but pragmatic enough to know when investigation must yield to execution.
• The ability to thrive in a lean, fast‑growing environment in which high performers have real influence.
• Deep regulatory expertise, strong leadership capabilities, and the emotional intelligence to engage and align a multi‑generational workforce.
• The adaptability to bridge communication styles, work approaches, and professional expectations across teams and offices, fostering collaboration, accountability, and execution.
• Bachelor’s degree; JD or advanced degree a plus.
• 7+ years of compliance experience within asset management, ETF issuers, investment adviser, or broker‑dealer platforms.
• Expert‑level understanding of SEC and investment company advertising compliance, with hands‑on marketing review experience.
• Active FINRA Series 7 and Series 24 licenses.
• Excellent writing skills with strong attention to grammar and punctuation.
• Proficiency in Microsoft Office tools (Excel, PowerPoint, Word).

Nice to have

• Advanced Red Oak AdMaster administrative capabilities including workflow configuration, rule libraries, reporting, entitlements, and system governance.
• Demonstrated knowledge of the investment management industry ecosystem, from legal, paralegal or administrative experience.
• Familiarity with ETF capital markets mechanics (creation/redemption process, AP relationships, and market making).
• Direct experience managing FINRA and SEC examinations.

Our Benefits

Victory Capital Management Inc. offers excellent Medical, Dental, Vision plans, Flexible PTO, Family Medical and Disability Leaves, Education Tuition Reimbursement, and a 401(k) plan with a generous employer match.

Target Compensation

The target base salary range for this position in San Antonio is $110,000 – $130,000.

The target base salary range for this position in Boston is: $127,500– $150,000.

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.