Victor M. Peña is currently a Partner of PKF O’Connor Davies’ Financial Services Group, (the “Group”) and the Broker Dealer Practice Leader with thirteen years of public accounting experience. Victor has extensive experience in alternative investments and financial services clients including broker-dealers—clearing and non-clearing, introducing commodities brokers, asset managers, hedge funds, private equity and venture capital funds and management companies. Victor also has diverse experience in other industries including commercial and not-for-profit entities.
As a leader in the Firm’s Corporate Accounting practice, Victor has managed several of the Firm’s outsourced accounting and controller engagements for various global and domestic investment partnerships and advisors as well as operating companies in Latin America. In addition, Victor oversees the Group’s Surprise Custody Examinations pursuant to Rule 206(4)-2 of the Investment Advisors Act of 1940.
As part of his role, Victor works closely with the Quality Control Group in the Firm’s Broker Dealer Practice to ensure consistency across the Practice and as part of audit risk-management efforts. He also does consulting work for other CPA firms performing audits of Broker Dealers to assist in their compliance with PCAOB audit requirements as well as consulting for other CPA firms performing Surprise Custody Examinations.
Victor is originally from Guatemala and is spearheading the Firm’s PKF Latin American business initiative and serves a liaison with other PKF member firms in collaborative projects.
Victor’s leadership includes being an Associate Member of the Firm’s Executive Committee. In addition, Victor is involved in various operational initiatives in the Group, including developing business strategy, staffing, training, and staff-retention and recruiting efforts. He is also an active lecturer in Firm sponsored education courses and authors and contributes to articles and bulletins for the Financial Services sector.