Deputy Chief Compliance Officer- Investment Advisor

About the role

The Deputy Chief Compliance Officer serves as a senior leader within the Compliance function of a U.S.-based asset management firm. Reporting directly to the Chief Compliance Officer (CCO) of the registered investment advisor, this individual plays a critical role in maintaining the integrity of the firm's compliance program — overseeing regulatory adherence, managing risk, and fostering a culture of ethical conduct across investment, operational, and client-facing teams.

Responsibilities

• Design, implement, and administer the firm's Rule 206(4)-7 and Rule 38a-1 compliance programs, including maintaining and updating policies and procedures designed to prevent violations of the federal securities laws.
• Prepare and present compliance reports, including annual program reviews, material compliance matter disclosures, and ad hoc updates.
• Partner with external counsel, fund administrator, transfer agent and custodian to support fund activities.
• Implement and oversee pre- and post-trade compliance monitoring for portfolios, ensuring adherence to investment restrictions, concentration limits, liquidity requirements, and applicable regulatory guidelines.
• Maintain and update regulatory filings, including Form ADV, Form N-CEN, Form N-PORT, Form N-PX, and prospectus/SAI updates, in collaboration with legal and fund operations teams.
• Monitor evolving regulatory requirements and ensure firm policies, procedures, and controls remain current and effective.
• Identify, assess, and mitigate compliance risks across investment management, trading, marketing, and distribution activities.
• Lead periodic compliance testing, surveillance, and monitoring activities; escalate material findings to the CCO and senior management as appropriate.
• Develop and deliver compliance training programs to promote awareness and a strong culture of compliance firm-wide.
• Cook up responses to SEC examinations, regulatory inquiries, and internal/external audits.
• Manage and mentor compliance staff, supporting professional development and operational excellence within the team.

Requirements

• 10+ years of compliance experience within the asset management or investment advisory industry. Prior leadership experience preferred.
• Bachelor's degree required. J.D., MBA, or advanced degree in a related field strongly preferred.
• Deep understanding of the Investment Advisers Act of 1940, Investment Company Act of 1940, and relevant SEC rules, including Rule 206(4)-7, Rule 38a-1, Rule 22e-4, Rule 18f-4, and related guidance.
• Strong analytical, written, and verbal communication skills and ability to navigate complex regulatory landscapes and advise senior stakeholders with clarity and confidence.

Qualifications

• Experience in regulatory compliance, preferably in the financial services industry.
• Knowledge of SEC regulations and familiarity with compliance frameworks.
• Ability to work independently and collaboratively with cross-functional teams.
• Excellent problem-solving and decision-making skills.
• Strong attention to detail and organizational skills.

Skills

• Compliance expertise, particularly in the areas of investment management and securities regulation.
• Strategic thinking and the ability to develop and implement compliance programs.
• Effective communication and interpersonal skills.
• Ability to manage multiple tasks and priorities.
• Proficiency in Microsoft Office Suite.

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.

Pay

The target base salary range for this position is $170,000 - $200,000. Salaries are determined based on internal equity, internal salary ranges, market data/ranges, applicant’s skills and prior relevant experience, certain degrees, and certifications.

Schedule

Full-time position.