Operations, Compliance, HR

Operations/Compliance/Human Resources

IMR understands the senior back office leadership that allows a firm to operate successfully.  Reporting directly to the president, many successful investment firms need Operations, Compliance and Human Resource personnel to provide guidance and leadership to oversee all functional activities

  • Operations: Managing day-today business operations such as establishing policies and procedures to ensure operational efficiencies; develop, support and implement analytic tools to support portfolio management and manager research processes; manage vendor relationships, data providers, operational, custodial and technology solutions; serving as client and outside company liaison; handle accounts receivable, accounts payable and billing; assist in the creation and preparation of monthly & quarterly client reports.
  • Compliance: Developing policies, procedures and internal controls including: risk assessment reviews, oversight of trade policies; monitoring and updating of the firm’s code of ethics; updating and submitting regulatory filings, working with 3rd party audit firms to attain GIPS compliance, internal reviews/investigations, review and approval of marketing materials.
  • Senior HR staff interface with senior management on all strategic and tactical issues relating to human capital management. HR staff are responsible for HR metrics and financial management; compensation and benefits strategy; executive compensation and succession planning; employee performance reviews and assessment of future personnel needs; overseeing and managing administrative staff; managing and executing daily operations related to payroll, insurance, 401(k), personnel & office policies.