Nicole Email & Phone Number
Deputy Chief Compliance Officer @ Victory Capital
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Nicole Location
- Boston, MA, US
Nicole Work
- Deputy Chief Compliance Officer @ (August 2026 - Present)
- Chief Compliance Officer, Mercer Funds and Mercer Trust Company @ (October 2022 - June 2026)
- Director, Compliance at Charles Schwab @ (December 2019 - October 2022)
- Vice President, Alternative Investment Solutions Risk and Compliance Director @ (May 2018 - July 2019)
- Vice President, Compliance Manager Corporate Compliance @ (January 2015 - May 2018)
- Vice President, North American Regional Head of Ethics Office @ (January 2012 - January 2015)
- Vice President, Global Code of Ethics Officer – SSGA @ (February 2009 - January 2012)
- Vice President and Compliance Officer @ (June 2007 - November 2008)
- Senior Vice President, Head of Portfolio Compliance @ (February 1997 - June 2007)
- Assistant Manager- Fund Compliance @ (May 1992 - February 1997)
- Mutual Fund Accountant @ (November 1990 - May 1992)
Nicole Education
- Babson College
- Hobart and William Smith Colleges
Nicole Skills
- Alternative Investments
- Asset Management
- Equities
- Financial Industry Regulatory Authority, Series 7, 24, 66 (Inactive);
- Financial Services
- Fixed Income
- Hedge Funds
- Investments
- Mutual Funds
- Personal Trading software
- Portfolio Management
- Risk Management
- Securities
- Series 24
- Series 66
- Series 7
- Uniform Combined State Law
Nicole Summary
- Nicole, based in Boston, MA, US, is currently a Deputy Chief Compliance Officer at Victory Capital. Nicole brings experience from previous roles at Mercer, Charles Schwab and State Street. Nicole holds a Babson College. With a robust skill set that includes Alternative Investments, Asset Management, Equities, Financial Industry Regulatory Authority, Series 7, 24, 66 (Inactive);, Financial Services and more. Nicole has 1 emails on RocketReach.
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Top Victory Capital Employees
Mike Thistleton
Managing Director
Alpharetta, GA, US
Jeff Dietry
Chief Information Security Officer
Cleveland, OH, US
Michael Policarpo
CFO
Broadview Heights, OH, US
Gary Miller
CIO - Small Cap Value and Mid Cap Value
Cincinnati, OH, US
Mannik Dhillon
President, Investment Franchises and Solutions and Head of ETFs
San Antonio, TX, US
Thomas Dusenberry
Managing Director - Fund Administration
Cleveland, OH, US
Terrence Bermel
Managing Director, Operations
Philadelphia, PA, US
Jon Seymour
Managing Director
Littleton, CO, US
Jay Alexander
Managing Director, Institutional Markets
Minneapolis, MN, US
David Chamberlain
Senior Vice President, Portfolio Manager
Boston, MA, US
Jim Jackson
Chief Investment Officer, Victory Income Investors
San Antonio, TX, US
David Brown
Chairman and Chief Executive Officer
San Antonio, TX, US
Ian Sale
Chief Operating and Technology Officer
San Antonio, TX, US
Ian Hendry
Managing Director
Chicago, IL, US
Jeff Engelhardt
Managing Director - Technology
Boston, MA, US
Andrea Hekman
Managing Director, Institutional Markets
Grand Rapids, MI, US
Caroline Churchill
Chief Marketing Officer
San Antonio, TX, US
Aditi Gwyn
Chief Operating Officer
Los Angeles, CA, US
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