Director, Marketing Compliance

Director, Marketing Compliance

San Antonio, TX | Boston, MA

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  or follow us on Facebook, Twitter (X), and Linked In.

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. During peak periods—particularly around quarter‑end reporting cycles—your ability to prioritize, exercise sound judgment, and model commitment will be critical.

We are looking for a leader who embraces change, builds scalable processes, and strengthens the team to support sustainable growth.

You will report to the Chief Compliance Officer.

• Serve as a strategic partner to Marketing, Portfolio Management, Product, Fund Administration, and Legal—providing accurate, compliant, commercially practical guidance while elevating and scaling the advertising review function.
• Have significant visibility with executive leadership and the opportunity to build a best‑in‑class marketing compliance program within a fast‑growing, dynamic global platform.
• On a daily basis, review and approve retail, institutional, and intermediary marketing materials across multiple distribution channels, leading your team by example and delegating effectively.
• 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, effectively coordinating across multiple offices and supporting a multi‑generational team with different communication styles and work approaches.
• 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.

• 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.
• The adaptability to bridge communication styles, work approaches, and professional expectations across teams and offices, fostering collaboration, accountability, and execution.
• 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).

• Advanced Red Oak AdMaster administrative capabilities including workflow configuration, rule libraries, reporting,…