Responsibilities

• Lead the review and approval of retail, institutional, and intermediary marketing materials across multiple distribution channels.
• Ensure compliance with SEC Rule 206(4)-1 (Marketing Rule), FINRA Rules 2210 and 2212, SEC Rule 482, FINRA Guidance letters, and firm policies and procedures.
• Provide commercially practical, risk-balanced guidance to business partners supporting compliant marketing execution.
• Serve as internal subject matter expert on SEC Rule 206(4)-1 (Marketing Rule), including its Adopting Release and subsequent SEC guidance.
• Provide authoritative guidance on net/gross performance presentation; hypothetical, extracted, related, and predecessor performance; testimonials and endorsements; and third-party ratings.
• Interpret and operationalize SEC guidance in policies, procedures, and workflows.
• Support SEC examinations and regulatory inquiries related to advertising compliance.
• Serve as strategic advisor to the business and review team as the firm scales its active ETF capabilities for global distribution.
• Review ETF-related communications including fact sheets, website content, pitchbooks, video and webinar presentations, social media, and product launch materials.
• Evaluate ETF performance presentations, rankings, and back-tested data, and create and maintain ETF-specific disclosures.

Requirements

• Bachelor's degree required; JD or advanced degree a plus.
• 8+ 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 required.
• Excellent writing skills with strong attention to grammar and punctuation.
• Ability to thrive in a fast-paced, growth-oriented environment that rewards accountability, initiative, and results.
• Strong leadership capabilities and emotional intelligence to engage and align cross-functional teams.
• Adaptability to bridge differences in communication styles and professional expectations across teams and offices.
• Proficiency in Microsoft Office tools (Excel, PowerPoint, Word).
• Must-have: Demonstrated ability to manage complex regulatory reviews in a multi-office setting.

Preferred

• Experience in both RIA and broker-dealer regulatory oversight.
• Experience supervising and developing compliance professionals.
• Strong familiarity with GIPS 2020.
• Advanced Red Oak AdMaster administrative capabilities including workflow configuration, rule libraries, reporting, entitlements, and system governance.
• Demonstrated knowledge of the investment company ecosystem, including active and passive management strategies, holdings disclosure requirements, selective disclosure rules, registration processes, prospectus content and N-1A requirements, performance portability, and share class structures.
• Familiarity with ETF capital markets mechanics (creation/redemption process, AP relationships, and market making).
• Direct experience managing FINRA and SEC examinations.

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.