Director, Marketing Compliance

About the role

We are seeking an experienced professional to lead our Marketing Compliance team, supporting both our registered investment adviser (RIA) and broker-dealer platforms. You will actively perform and oversee the review and approval of advertising and marketing for retail, institutional, and intermediary distribution channels. This role demands both strategic thinking and hands-on execution.

Responsibilities

• Review and approve retail, institutional, and intermediary marketing materials across multiple distribution channels.
• Provide expert guidance on complex regulatory matters including the SEC Marketing Rule, FINRA advertising requirements, and ETF-specific marketing compliance.
• Lead and develop a team of advertising compliance professionals ranging from newly licensed reviewers to colleagues with 20+ years of experience.
• Establish workflow processes to ensure timely, risk-based reviews with quality assurance controls and escalation protocols.
• Identify opportunities to scale the function through process improvements and drive innovation with technology, including optimizing the firm’s use of Red Oak and internal AI tools.
• Support regulatory examinations and inquiries related to advertising compliance.

Requirements

You are eager to understand how the pieces fit together—but pragmatic enough to know when investigation must yield to execution. The ability to thrive in a lean, fast-growing environment in which high performers have real influence. Deep regulatory expertise, strong leadership capabilities, and the emotional intelligence to engage and align a multi-generational workforce. Adaptability to bridge communication styles, work approaches, and professional expectations across teams and offices, fostering collaboration, accountability, and execution.

Qualifications

• Bachelor's degree; JD or advanced degree a plus.
• 7+ years of compliance experience within asset management, ETF issuers, investment adviser, or broker-dealer platforms.
• Expert-level understanding of SEC and investment company advertising compliance, with hands-on marketing review experience.
• Active FINRA Series 7 and Series 24 licenses.
• Excellent writing skills with strong attention to grammar and punctuation.
• Proficiency in Microsoft Office tools (Excel, PowerPoint, Word).

Skills

• Adaptability to bridge communication styles, work approaches, and professional expectations across teams and offices.
• Ability to thrive in a lean, fast-growing environment.
• Deep regulatory expertise, strong leadership capabilities, and emotional intelligence.

Benefits

Victory Capital Management Inc. 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 $110,000 - $130,000. The target base salary range for this position in Boston is: $127,500- $150,000. 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.