Investment Operations Compliance Manager - Emory Investment Management

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Description

The Manager of Investment Operations Compliance is an integral member of the Emory Investment Management (EIM) Investment Operations team. All roles function as a member of a broader operations team and may include participating in activities related to any of the 10BN+ in investments under supervision.

 

KEY RESPONSIBILITIES:

• Maintains a thorough knowledge of the endowment's operations functions.
• Maintains responsibilities associated with tax and audit oversight, regulatory compliance, ongoing monitoring, portfolio operations, internal and external reporting, and other duties as assigned.
• Works independently with some supervision and may be assigned to train or guide a junior investment operations analyst.

Tax and Audit Oversight Responsibilities:

• Oversees all tax reporting needs related to investments. This includes working closely with outside tax counsel, as well as Emory's Director of Tax, to ensure that Emory's tax reporting obligations are fulfilled.
• Responsible for K1/tax document maintenance, FATCA compliance, UBTI tracking, and estimated tax payment planning, facilitating annual tax monitoring questionnaire, evaluation of tax impact on investment return.
• Assists with the investment vehicle tax structure review.
• Assists with the processing of EIM's annual monitoring questionnaires (Tax annual questionnaire, Audit confirms, and ODD Monitoring).
• Assists with preparation of various audit workpapers.
• Assists with internal and external reporting needs, including Investment Committee Report preparation and review.

Regulatory Compliance:

• Responsible for management and coordination of regulatory/compliance requests, regulatory compliance filings, including TIC-SLT, 13F, SHCA, BE11, etc.
• Maintains accurate records to ensure compliance with appropriate regulations.
• Provides information to support various regulatory other external disclosures and filings as needed.

Ongoing Monitoring:

• Monitors outstanding commitments and fees as well as other compliance-based requests.
• Oversees daily monitoring of EIM's document management system. Participates in operational risk assessment of external managers.
• Reviews valuation policies and audited financial statements of external investment managers, facilitating annual ODD monitoring questionnaires and risk rankings.

Portfolio Operations and Other Responsibilities:

• Assist with the operational aspects of the portfolio.
• Performs accounting reconciliations.
• Responsible for the oversight of documentation and maintenance of operational policies and procedures.
• Ensures that operational processes and controls minimize operational risks. Facilitates collaboration to achieve process efficiency.
• Performs other related duties as required.

MINIMUM QUALIFICATIONS:

• A bachelor's degree required, preferably in finance or accounting, and five years of related work experience, OR an equivalent combination of education, training, and experience. CPA, CFA, or MBA is required.
• Previous asset management experience preferred; high level of professional maturity, integrity, judgement, and discretion required.
• Strong organizational skills and an ability to manage multiple complex tasks with a focus on detail, accuracy, and timeliness.
• Team-oriented and comfortable working in a small office environment. Excellent verbal and written communication skills.

NOTE: Position tasks are generally required to be performed in-person at an Emory University location.  Remote work from home day options may be granted at department discretion. Emory reserves the right to change remote work status with notice to employee.

 

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