Investment Compliance Associate

Victory Capital; Boston (MA); On-site; USD 97,750 - 115,000; Full time

Benefits offered by this job

Medical, Dental, Vision plans

Flexible PTO

Education Tuition Reimbursement

Job summary

A leading asset management firm is seeking a Compliance Analyst to support portfolio compliance activities. Responsibilities include daily monitoring of trades, maintaining compliance programs, and preparing reports. Applicants should have 2-4 years of experience in compliance, proficiency in Charles River, and a Bachelor's degree in a relevant field. An attractive compensation range of $97,750 - $115,000 is offered along with excellent benefits including flexible PTO and a 401k plan with employer match.

Qualifications

• 2-4 years of experience in portfolio compliance or related financial services.
• Experience with compliance monitoring systems, especially Charles River.
• Experience interpreting and coding UCITS rules.

Responsibilities

• Support daily monitoring of pre- and post-trade activity.
• Assist in maintaining the portfolio trade compliance program.
• Conduct initial reviews of potential breaches and documentation.

Skills

Experience in portfolio compliance

Knowledge of trade order management workflows

Ability to execute regulatory concepts

Interpretation of UCITS rules

Working knowledge of various asset classes

Education

Bachelor’s degree in a relevant field

Tools

Charles River (CRD)

Job description

Overview

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, X (formerly Twitter), and LinkedIn.

General Summary and Purpose You support a team of portfolio compliance professionals within VCM’s Legal and Compliance department, assisting with regulatory oversight and trade compliance activities. In this role, you will contribute to daily trade compliance monitoring, rule implementation support, client onboarding processes and escalation procedures, while ensuring alignment with regulatory requirements, client guidelines and internal policies and procedures. You will have the opportunity to collaborate closely with portfolio management, operations, legal and sales, while receiving cross-training in select non-core compliance functions to support broader department initiatives.

You Will

• Support and contribute to daily monitoring of pre- and post-trade activity across multiple asset classes and account types under manager supervision.
• Assist in maintaining the portfolio trade compliance program, with a focus on coding, testing, and managing rules within Charles River (CRD) with oversight.
• Execute a wide range of compliance tasks, including the interpretation of client and prospectus guidelines, rule coding, and regulatory adherence to various standards and regulations including the Investment Company Act of 1940, UCITS Directives and CSSF.
• Conduct initial review of potential active and passive UCITS breaches, including documentation of findings, and coordination with portfolio managers, escalating complex issues to senior team members/management to ensure effective remediation.
• Assist in preparing detailed incident reports and client reporting activities.
• Support new account onboarding, including interpretation of client guidelines, rule analysis, coding and coordination with portfolio management, legal and operations teams.
• Perform trade compliance testing and validation to support client certification and other regulatory reporting requirements.
• Participate in the portfolio compliance team’s planning and execution of the compliance rule library migrations under management direction.

You Have

• 2-4 years of experience in portfolio compliance or related financial services compliance role.
• Experience with compliance monitoring systems with an emphasis on Charles River (CRD) and demonstrated knowledge of trade order management workflows.
• Ability to understand and execute regulatory concepts while providing clear communication to senior members of the firm.
• Experience interpreting and coding UCITS rules, reviewing client IMAs, and conducting new account onboarding from a portfolio trade compliance perspective.
• Working knowledge of 1940 Act requirements, UCITS guidelines, CSSF regulations, and other applicable US and international regulations governing trading and investment adviser activities.
• Knowledge and experience working with various asset classes including Equities, Swaps, Futures, Exchange Linked Notes (ELNs), Asset-Backed Securities and Insurance Linked Securities.
• Bachelor’s degree (or above) in a relevant field.

Our 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 $97,750 - $115,000. 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.

EEO 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.