Chief Accounting Officer and Chief Compliance Officer, Fund Accounting and Administration, Investment Manager Services
Areas of expertise
- Compliance trends and emerging best practices
- How investment managers can improve due diligence over their service providers
- Effective use of compliance risk assessments
- Business and management challenges facing CCOs
- Improving the relationship between the CCO and the Board of Trustees
- SEC rules, proposals and other regulatory actions
- Public policy and the investment management industry
Jim Volk is SEIís Chief Accounting Officer and Chief Compliance Officer; he works within the Investment Manager Services division. Jim is responsible for formulating and communicating SEIís position on all proposed new accounting rules and regulatory changes that impact the services SEI provides to its clients. He is also the designated liaison for Chief Compliance Officers (CCOs) and clients of the Investment Manager Services division. In that role, he heads up SEIís Compliance Advantage Program, which provides compliance support and a range of services supporting the efforts of client CCOs.
Jim joined SEI in February 1996 as a Fund Accounting Director and subsequently held the position of Senior Operations Officer from 2001 Ė 2004. Prior to joining SEI, Jim spent over two years as an Assistant Chief Accountant of the SECís Division of Investment Management in Washington, DC, where he dealt primarily with accounting, auditing, tax, and disclosure issues affecting the investment company industry.
Before joining the SEC in December 1993, he spent nine years with PricewaterhouseCoopers in Baltimore, most recently as a Senior Manager, where he specialized in servicing clients in the financial services industry, including investment companies, investment partnerships, broker/dealers, and investment advisors.
Jim received his bachelorís degree in accounting from the University of Delaware and is a CPA.