Associate Director, Regulatory Compliance
About The Position
Will be responsible for the administration and implementation of the regulatory compliance programs of the Cohen & Steers investment advisers and registered investment companies pursuant to Rule 38a-1 of the Investment Company Act of 1940 and Rule 206(4)-7 of the Investment Advisers Act as well as other regulatory requirements. The successful candidate will bring a combination of technical knowledge, familiarity with modern asset management products and services, intellectual curiosity, strong work ethic, and strong verbal and written communication skills. A successful candidate will be capable of prioritizing multiple projects, under moderate volumes with tactful business judgment and poise. Cohen & Steers is committed to an inclusive culture, valuing diversity in support of our people and clients.
Requirements
- Bachelor’s degree and 4-6 years compliance experience
- Series 7 preferred or candidate must be willing to obtain license within 12 months of hire; requires a Series 24 license
- Solid understanding of regulatory/self-regulatory agencies (e.g., FINRA, CFTC, FCA) and the requirements of the Investment Advisers Act of 1940 and the Investment Company Act of 1940
- Excellent writing, communication and presentation skills
- Well organized with the ability to manage multiple projects and prioritize effectively
- High attention to detail, including the ability to maintain orderly documentation and track issues/recommendations
- Proficient in Microsoft Office
- Team player, with the ability to partner with colleagues across the firm
- 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 MCO (or equivalent code of ethics and personal trading software) and Global Relay is a plus
- Proficient in Co-Pilot and/or similar artificial intelligence tools with an aim to increase efficiencies and automate routine tasks
Responsibilities
- Conduct periodic forensic testing and monitoring designed to underpin the firm’s 38a-1 and 206(4)-7 annual compliance reviews
- Help identify potential conflicts and risk areas within various business units with an emphasis on regulatory examination priorities and related risk alerts
- Complete reviews of compliance policies and procedures including those related to the compliance programs under Rule 38a-1 of the Investment Company Act of 1940, Rule 206(4)-7 of the Investment Advisers Act and the rules associated with a FINRA registered limited purpose broker-dealer
- Implement revisions to policies and procedures in response to testing results or changes in regulatory or company landscape and conduct training as necessary
- Investigate, resolve and document compliance related issues, working with senior personnel throughout the firm and reporting to senior management and the funds’ board of directors
- Maintain and update the company’s Compliance Manuals
- Conduct due diligence on third party service providers including on-site meetings and reviews of internal control reports and applicable policies and procedures
- Administer the compliance oversight program for the intermediaries distributing the Cohen & Steers open-end funds
- Review and assist in the preparation of filings, including Form ADV, FINRA and CFTC filings, and the funds’ disclosure documents
- Assist in administering the personal trading policy and review of employee electronic communications
- Assist in producing documents and producing responses as a result of regulatory examinations and internal or external audit
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What This Job Offers
Job Type
Full-time
Career Level
Mid Level
