Victor M. Peña is currently a Partner of PKF O’Connor Davies’ Financial Services Group, (the “Group”) with twelve 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 funds, master-feeder funds and management companies. Victor also has diverse experience in other industries including commercial and not-for-profit entities.
Victor oversees the Group’s Surprise Custody Examinations pursuant to Rule 206(4)-2 of the Investment Advisors Act of 1940. He has also managed several of the Firm’s outsourced accounting and controller engagements for various global and domestic investment partnerships and advisors.
In addition, 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 spearheading the Firm’s PKF Latin American business initiative and as part of his role, serves a liaison with other PKF member firms in collaborative projects.
As a leader in the Firm, he is involved in various operational initiatives in the Group, including 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.