Marketing Compliance Specialist — Asset Management

Victory Capital Management; Boston (MA); On-site; USD 110,000 - 130,000; Full time

Benefits offered by this job

Medical insurance

Dental plan

Vision plan

Flexible PTO

Tuition reimbursement

401k with match

Job summary

Victory Capital Management, a diversified global asset manager, seeks a mid-level Marketing Compliance professional to review and approve advertising materials for retail, institutional, and intermediary channels. You will work with colleagues across Marketing, Portfolio Management, Product, and Legal to ensure regulatory compliance and practical guidance.

The role emphasizes interpreting SEC/FINRA rules, handling multiple product suites, and contributing to the broader compliance program.

Qualifications

• Bachelor's degree; JD or advanced degree a plus.
• 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.

Responsibilities

• Interpret and apply knowledge of rules and regulations to review and approve marketing materials for compliance.
• Review and approve materials across mutual funds, ETFs, and UCITS marketed to US Offshore market.
• Collaborate with Marketing, Portfolio Management, Product, Fund Administration, and Legal for practical guidance.
• Document policies, procedures, and communications to business units.
• Identify opportunities to improve processes and drive tech-enabled innovations.

Skills

Writing

Analytical thinking

Attention to grammar

Communication skills

Education

Bachelor's degree

J.D. or advanced degree

Tools

Red Oak

AdMaster

Microsoft Office

Job description

Victory Capital Management, a diversified global asset manager, seeks a mid-level Marketing Compliance professional to review and approve advertising materials for retail, institutional, and intermediary channels. You will work with colleagues across Marketing, Portfolio Management, Product, and Legal to ensure regulatory compliance and practical guidance.

The role emphasizes interpreting SEC/FINRA rules, handling multiple product suites, and contributing to the broader compliance program.