Marketing Compliance Analyst — Asset Management

Victory Capital

Boston (MA)

On-site

USD 110,000 - 130,000

Full time

14 days+

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Benefits offered by this job

Medical benefits

Dental benefits

Vision benefits

Flexible PTO

Education Tuition Reimbursement

401k with employer match

Job summary

Victory Capital is seeking a mid-level Marketing Compliance professional to review and approve advertising materials for retail, institutional, and intermediary channels. You will collaborate across Marketing, Portfolio Management, Product, Fund Administration, and Legal to ensure compliant, practical collateral.

Responsibilities include interpreting rules, ensuring accuracy, and supporting examinations and initiatives.

Qualifications

3+ years of compliance experience within asset management, ETF issuers, investment adviser, or broker-dealer platforms.
Strong understanding of SEC, FINRA, MSRB and other related securities advertising compliance, with hands-on marketing review experience.
Active FINRA Series 7 and Series 24 licenses, or ability to obtain within 120 days.

Responsibilities

Interpret and apply knowledge of rules and regulations to the review and approval of marketing materials for compliance with regulations.
Review and approve marketing materials for registered investment products across multiple investment franchises.
Review and approve institutional products and services materials, including strategy and model portfolios.