Regulatory Administration Specialist

Victory Capital; Boston (MA); On-site; USD 68,000 - 80,000; Full time

Benefits offered by this job

Medical benefits

Dental benefits

Vision benefits

Flexible PTO

Family medical leave

Education tuition reimbursement

401k with employer match

Job summary

Victory Capital Management seeks a full-time Regulatory Administration Specialist to join the Fund Administration team in Boston. You will manage review, editing, maintenance, processing, and regulatory filing of fund documents, including prospectuses and information statements, reporting to the Director of Regulatory Administration.

Responsibilities include coordinating with internal teams and external partners to prepare SEC filings, managing the annual prospectus process, reviewing N-1A

Qualifications

• Paralegal Certification or BA/BS in Finance, Business, Legal Studies, or related field.
• 1+ years of experience in a financial services environment.
• Advanced proficiency in Word, Excel, and Adobe Acrobat.
• Strong written and verbal communication skills.
• Ability to manage multiple deadlines in a fast-paced, regulated environment.
• Familiarity with content management systems preferred.

Responsibilities

• Assist regulatory filings team under the direction of the Director of Regulatory Administration.
• Coordinate with internal departments and external partners to prepare mutual fund regulatory documents for SEC submission.
• Coordinate and manage the annual mutual fund prospectus process with timelines and proofs, filing with the SEC by deadlines.
• Review Form N-1A and other guidelines to implement disclosure changes.
• Maintain knowledge of content management systems used in regulatory updates.
• Maintain printing and fulfillment of mutual fund prospectuses and reports.
• Develop relationships with vendors and CMS providers, reviewing service levels.
• Support Fund Administration projects (new funds, changes, consolidations).
• Identify opportunities to automate or streamline regulatory filing workflows.
• Support proxy solicitation and printing as needed.
• Monitor Fund website for document accuracy.
• Assist with board materials and travel accommodations if needed.
• Perform other related duties.

Skills

Strong written and verbalCommunication

Multitasking

CMS familiarity

Education

Paralegal Certification

Bachelor's degree (BA/BS)

Tools

Microsoft Word

Microsoft Excel

Adobe Acrobat

Job description

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:

Victory Capital Management is seeking a full-time Regulatory Administration Specialist to join the Fund Administration team. This role manages the review, editing, maintenance, processing, and regulatory filing of fund documents, including prospectuses and statements of additional information.

You will report to the Director of Regulatory Administration.

You Will:

• Work with the regulatory filings team, under the direction of the Director or Regulatory Administration.
• Coordinate with internal departments and external business partners to request, create, and prepare mutual fund regulatory documents (i.e., prospectus and statement of additional information disclosure) to be submitted to the Securities and Exchange Commission (SEC) or other regulatory bodies and agencies.
• Coordinate and manage the annual mutual fund prospectus process, which includes creating timelines, input of changes during the review process, review/send document proofs to the printer, and file documents with the SEC by required deadlines.
• Review Form N-1A and other industry regulatory guidelines to determine the impact on the regulatory documents and work to implement document disclosure changes as needed.
• Develop and maintain a thorough working knowledge of the content management systems used during the regulatory update process.
• Maintain responsibility for the printing and fulfillment of mutual fund prospectuses, supplements, and other financial reports.
• Establish and maintain business relationships with outside vendors and business partners, including print vendors and content management system service providers, and review service quality standards and service levels.
• Help facilitate various Fund Administration projects (i.e., creating new funds/share classes, portfolio management changes, fund consolidations, and other related items).
• Identify and support opportunities to improve, automate, or streamline regulatory filing and governance workflows.
• Support the proxy solicitation and printing process as needed.
• Monitor the Fund website for functionality and accuracy with respect to the mutual fund regulatory documents.
• May be asked to assist in coordinating with internal departments and external business partners to compile mutual fund board materials in an accurate and timely manner.
• May be asked to assist with coordinating accommodations for mutual fund board member travel to meetings.
• Perform other related duties as assigned.

You Have:

• Paralegal Certification, BA, or BS degree (preferably in Finance, Business Administration, Legal Studies, or a related field). Work experience in lieu of a degree may be considered.
• 1+ years of experience in a financial services environment
• Advanced proficiency in Microsoft Word, Excel, and Adobe Acrobat
• Strong written and verbal communication skills
• Ability to manage multiple concurrent deadlines in a fast-paced, regulated environment
• Familiarity with content management systems preferred

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 in San Antonio is $58,000 - $70,000

The target base salary range for this position in Boston is $68,000 - $80,000

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.

Equal Opportunity Employer
This employer is required to notify all applicants of their rights pursuant to federal employment laws.For further information, please review the Know Your Rights notice from the Department of Labor.