Associate Director, Investment & Trading Compliance

Cohen & Steers•New York, NY

2d•$125,000 - $135,000•Hybrid

About The Position

This role provides an opportunity to liaise directly with back office and infrastructure, the trading desk and front office. This is a dynamic position with room to grow in a field with technical, regulatory reporting and forensic testing opportunities. Responsible for monitoring current holdings and daily trading activity against client guidelines, restrictions, internal policies/procedures, and relevant regulatory requirements for our proprietary mutual funds and registered investment advisers. Cohen & Steers is committed to an inclusive culture, valuing diversity in support of our people and clients.

Requirements

Bachelor’s degree with a minimum of 5 years of relevant experience, primarily in an asset management organization
Solid working knowledge and understanding of capital markets; experience with fixed income, equity and derivative instruments highly desirable
Knowledge of the Investment Advisers Act of 1940, the Investment Company Act of 1940, the Securities Exchange Act of 1934, CFTC, NFA, FINRA and other regulatory requirements and/or experience with foreign regulations highly desirable
A self-starter who takes initiative and works independently with a team focused mindset.
Strong analytical and time management skills with excellent attention to detail and the ability to exercise good judgment
Excellent verbal and written communication skills
Excellent organizational skills and the ability to prioritize multiple requests from a variety of sources to meet deadlines in a fast-paced, dynamic environment
Proficiency in Bloomberg and other major software applications
SIE & Series 7 preferred or willingness to obtain
Demonstrates inclusive behaviors in support of a culture that values diverse perspectives
Agrees to comply with the firm’s hybrid work policy (“work from home policy,” as aligned with the Company’s employee handbook), which currently requires reporting to the Company’s New York City office four (4) days per week, with one (1) remote workday permitted.

Nice To Haves

experience with fixed income, equity and derivative instruments
experience with foreign regulations
SIE & Series 7 preferred or willingness to obtain

Responsibilities

Autonomously evaluate and action pre-trade and post-trade compliance alerts in coordination with a variety of teams including the trading desk and back-office departments
Review all daily compliance and trading reports, coordinating with various Departments for identification and resolution
Prepare and finalize regulatory section 13 filings.
Work with Relationship Management, Compliance, Legal, Portfolio Management and Information Technology to respond to client requests for reporting
Identify ways of creating efficiencies/improving processes in the program applying best practices in coordination with the firm’s technology team
Review historical activity to accurately prepare client certifications
Review, prepare, and submit foreign ownership disclosure filings, foreign takeover panels and shareholder disclosure requests
Monitor any manual rules of client account restrictions, based on the frequency determined by the control’s risk assessment
Manage and keep all team documents (including policies, procedural documents, checklists and agendas) current and up to date
Perform various reconciliation projects ensuring different systems are in sync
Undertake special compliance-related projects, as assigned