Jeff Vorwerk
Altoona,United States
Summary
I am an experienced investment management executive with three decades in asset management and retirement solutions, offering deep expertise in fund governance, regulatory oversight, global product strategy, and sustainability. I am well-versed in the Investment Company Act of 1940 regulations, diverse fund structures, and investment operations, complemented by my demonstrated success in driving business transformation initiatives while maintaining robust governance frameworks. I have consistently advanced product and sustainability objectives throughout my career, supported by my extensive academic credentials including a doctorate in interdisciplinary leadership studies and comprehensive education in finance, management, and organizations. I am seeking a Board Director position with an investment company specializing in mutual funds, ETFs, or interval funds where I can leverage my comprehensive industry expertise and proven leadership capabilities. My background combines extensive asset management experience, deep understanding of fund structures and operations, strong governance and regulatory compliance knowledge, and strategic oversight capabilities. This experience, coupled with my track record in board leadership and business transformation, positions me to provide valuable strategic guidance and effective oversight as an investment company director.
Overview
23
23
years of professional experience
1
1
Certification
Work History
Managing Director/Strategic Portfolio Director
Principal Financial Group
03.2021 - Current
- Direct and guide strategy and execution of global sustainable investing, investment team governance, resource oversight, and investment affiliate support initiatives at Principal Asset Management to contribute to the growth and profitability of the business. Lead day-to-day activities of the sustainable investing team of Principal Asset Management, including associated governance and ecosystem support functions. Develop, implement, and manage appropriate governance structures for all investment teams, and specific joint venture initiatives. Critical initiatives include:
- Leading the sustainable investing team and initiatives within the asset management organization, including research, stewardship and engagement governance, operations, marketing and training, general human resources functions, and reporting to Principal Financial Group Board, Principal Funds Board, and other affiliated governance groups.
- Leading investment governance and resource prioritization oversight ecosystem of Principal Asset Management in collaboration with senior management, asset class heads, board chairs, and functional committee chairs to ensure timely, comprehensive, and consistent sharing of business strategy, investment performance objectives and outcomes, resource allocation, and other governance and oversight-related activities across the firm.
- Developing and providing oversight on growth and business support strategies for investment affiliates of Principal Asset Management.
- Liaising with joint venture partners in China to collaborate on best practices sharing activities to optimize relationship value.
- Advisor to enterprise-wide Green Team employee resource group focused on sustainability initiatives.
Director - Global Product Development
Principal Financial Group
08.2015 - 03.2021
- Led and mentored team of more than 20 associates responsible for global product development and information functions within Principal’s asset management division:
- Oversaw product development functions for US Mutual Funds, Exchange-Traded Funds, Interval Funds, Separately Managed Accounts, Collective Investment Trusts, UCITS Funds, and asset allocation solutions
- Oversaw deployment of corporate seed capital for product development
- Secured approvals with internal committees and external governing boards, including new product launches, enhancements, and rationalization decisions
- Led team of product information specialists charged with successful creation and delivery of “requests for proposals,” due diligence questionnaires, and consultant database strategy and execution
- Frequent global travel, including China, Europe, Japan, and Malaysia
- Frequent presenter at regulatory board meetings and speaking engagements at company events and industry conferences
Director/Assistant Director/Manager - Investment Services
Principal Financial Group
03.2002 - 08.2015
- Built and directed analytics, data, and reporting management functions within the Retirement and Income Solutions division of Principal, which served both retirement and retail investors
- Built new functions and managed third-party relationships for retirement plan sponsor and participant advisory services
- Led team responsible for providing asset allocation administrative services to defined benefit retirement plan clients
- Led marketing function for an entity that provides asset allocation services for defined benefit retirement plan clients
- Created proprietary and third-party analytical services for investment products
- Led US Mutual Fund product development efforts
- Frequent presenter at regulatory board meetings and speaking engagements at company events and industry conferences
Education
EdD - Interdisciplinary Leadership
Creighton University
Omaha, NE05.2023
MBA - undefined
Drake University
Des Moines, IA12.1998
BBA - Finance with Accounting emphasis, Political Science minor
University of Iowa
Iowa City, IA05.1994
Affiliations
- Investments & Wealth Institute (formerly IMCA)
- Investment Management Education Alliance (IMEA) – Past product advisory council member and current member of ESG council
- Affiliate member, CFA Institute
- Investment Company Institute (ICI) Research Committee past member
Certification
- Certified Investment Management Analyst (CIMA) – Included in-person educational coursework through The Wharton School at the University of Pennsylvania
- Fellow, Life Office Management Institute (FLMI)
- Previously FINRA series 7 and 24 licensed (exams eligible for reinstatement due to affiliate waiver)
Awards
Graduated with distinction from the Henry B. Tippie College of Business, University of Iowa (May 1994), Inducted into the Alpha Iota Sigma Interdisciplinary Honor Society, Creighton University (June 2022)
Timeline
Managing Director/Strategic Portfolio Director
Principal Financial Group
03.2021 - Current
Director - Global Product Development
Principal Financial Group
08.2015 - 03.2021
Director/Assistant Director/Manager - Investment Services
Principal Financial Group
03.2002 - 08.2015
EdD - Interdisciplinary Leadership
Creighton University
MBA - undefined
Drake University
BBA - Finance with Accounting emphasis, Political Science minor
University of Iowa
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