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Director, Compliance & Reporting (Emory Investment Management)

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Emory UniversityRoswell, GA
  • Discover Your Career at Emory University:Emory University is a leading research university that fosters excellence and attracts world-class talent to innovate today and prepare leaders for the future.
  • We welcome candidates who can contribute to the diversity and excellence of our academic community.
  • Description:Reporting to the Chief Operating Officer, the Director of Compliance and Reporting is a specialist role focused on investment industry regulatory reporting, staff compliance, investment portfolio compliance with internally mandated parameters, and support to Emory Investment Management (EIM).
  • The Director of Compliance and Reporting is also responsible for EIM's disaster recovery and business continuity planning.
  • JOB DESCRIPTION: Functions as a member of a broader operations team and participates in activities related to any of the 10BN+ in investments under supervision.
  • Performs related responsibilities as required.
  • Legal/Compliance: Oversees all aspects of compliance for investments.
  • This includes working closely with lawyers, consultants, custodians, regulatory agencies, and other Emory departments.
  • Develops procedures, develops controls, monitors, and files reports on investments and investment activity for compliance with internal and external regulations and reporting.
  • This includes the following: monitoring assets for compliance with board mandated investment guidelines, monitoring managed accounts for compliance with investment management agreement, determining and submitting external filings required by various regulatory agencies (Federal Reserve Bank, SEC, U.S. Treasury, BEA, etc); monitors counter-party risk, proxy voting and manages legal document processes for current investments.
  • Responsible for reviewing ADV's and other regulatory documents.
  • Responsible for preparation or review of compliance filings ensuring submission deadlines are met.
  • Serves as the point person for all legal documents requiring signed approval.
  • Tracks all EIM investment documents requiring internal approval or signature.
  • Reviews and prepares all documentation for EIM's Fund investments including subscription documents, side letters, partnership amendments, ROFR's, term extensions etc.
  • Ensures KYC and regulatory reviews of internal entities are satisfied by working with banks and other third parties, as necessary.
  • Investment Operations Reporting Responsibilities: Prepares and verifies data for all quarterly investment reporting packages for the Investment Committee.
  • Ad hoc reporting responsibility and oversight for all reporting needs to other enterprise stakeholders and senior management (Development/Sustainability/Internal Audit/IT).
  • Responsible for oversight of internal documents (Bipsync), including meetings and dashboard reporting oversight.
  • Serves as point person for coordination and submission of all applicable surveys (NACUBO, Cambridge, Moody's, S, ESG).
  • Leads effort for documenting ESG/DEI and other internal initiatives within EIM. Serves as liaison for all Development reporting needs to ensure accuracy and presentation of EIM data.
  • Business Continuity/Disaster Recovery: The Director of Compliance and Reporting is instrumental at ensuring that all new processes and procedures are documented and maintained to ensure business continuity in the event of a disaster.
  • Responsible for maintaining and updating internal Business Continuity Plan as needed.
  • This position is consistently driving the team toward operational best practices.
  • Budget Tracking and Reporting: In conjunction with COO and Deputy COO, creates, maintains, and tracks the annual operating budget for EIM. This includes reviewing monthly budget vs actual expenditures and documenting large variances.
  • Prepares monthly summary budget reports for CIO (Travel, Legal, etc
  • Self-Administration: Serves as a critical resource within our self-administration processes.
  • Participates in the following processes to ensure segregation of duties and additional operational oversight: cash recon, journal entry review, fund onboarding/offboarding.
  • PREFERRED QUALIFICATIONS:Critical thinking skills, decisive judgment, and the ability to work with minimal supervision.
  • Highly detail-oriented, well-organized, entrepreneurial, and self-motivated with the ability to work independently or collaboratively as required.
  • Proven experience in coaching and mentoring team members to understand and execute best-in-class investment operational proceduresMINIMUM QUALIFICATIONS: A bachelor's degree in finance, accounting, or a related field, and ten years of finance/accounting experience, including experience in an investment organization or related public company reporting preferred.
  • Knowledge of investment management and accounting software tools.
  • Must have a solid understanding of external compliance requirements and willing to develop a strong understanding of internal compliance requirements.
  • Strong knowledge and demonstrated interest in understanding operational best practices associated with various investment strategies and industry trends.
  • Knowledge of capital markets and understanding of risk management.
  • Deep technical knowledge of accounting and operational issues pertaining to various financial instruments, including equity, credit, and derivatives.
  • Ability to leverage technology across multiple platforms for effective communication of investment information.
  • Proficiency with Microsoft Office programs, specifically Excel for data aggregation, analysis, and reconciliation.
  • MBA or CPA highly preferred.
  • Emory Supports a Diverse and Inclusive Culture:To ensure the safety of our campus community, the COVID-19 vaccine is required.
  • For more information on the University and Hospital policies and potential exemptions, please see our website.
  • Emory University is dedicated to providing equal opportunities and equal access to all individuals regardless of race, color, religion, ethnic or national origin, gender, genetic information, age, disability, sexual orientation, gender identity, gender expression, and veteran's status.
  • Emory University does not discriminate in admissions, educational programs, or employment on the basis of any factor stated above or prohibited under applicable law.
  • Students, faculty, and staff are assured of participation in University programs and in the use of facilities without such discrimination.
  • Emory University complies with Executive Order 11246, as amended, Section 503 of the Rehabilitation Act of 1973, the Vietnam Era Veteran's Readjustment Assistance Act, and applicable executive orders, federal and state regulations regarding nondiscrimination, equal opportunity and affirmative action.
  • Emory University is committed to achieving a diverse workforce through application of its affirmative action, equal opportunity and nondiscrimination policy in all aspects of employment including recruitment, hiring, promotions, transfers, discipline, terminations, wage and salary administration, benefits, and training.
  • Emory University is committed to providing reasonable accommodations to qualified individuals with disabilities upon request.
  • To request this document in an alternate format or to request a reasonable accommodation, please contact the Department of Accessibility Services at 404-727-9877 (V) | 404-712-2049 (TDD).
  • Please note that one week advance notice is preferred.

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