Associate Director, Regulatory Compliance

Cohen & Steers Summer Associate Program; New York (NY); Hybrid; USD 130,000 - 150,000; Full time

Benefits offered by this job

Hybrid work policy

Job summary

Cohen & Steers is seeking an Associate Director, Regulatory Compliance in New York to administer and execute the firm’s regulatory programs across investment advisers and funds. You will oversee testing, policy reviews, and filings, working with senior leaders to address issues and support board reporting.

Ideal candidates have 4–6 years in compliance, strong communication skills, and the ability to manage multiple projects in a hybrid work environment with a NYC office requirement.

Qualifications

• Bachelor’s degree and 4-6 years compliance experience.
• Series 7 preferred or willing to obtain license within 12 months; requires a Series 24 license.
• Excellent writing, communication and presentation skills.
• Well organized with ability to manage multiple projects and prioritize.
• High attention to detail and documentation discipline.
• Proficient in Microsoft Office; experience with MCO and Global Relay is a plus.
• Proficient with Co-Pilot and/or similar AI tools to increase efficiency.
• Team player with collaboration across the firm.
• Willing to comply with hybrid work policy (NYC office four days/week, one remote day).

Responsibilities

• Conduct periodic forensic testing and monitoring for 38a-1 and 206(4)-7 annual reviews.
• Identify potential conflicts and risk areas across business units.
• Review compliance policies and procedures under Rule 38a-1 and Rule 206-4-7 and related FINRA rules.
• Implement revisions to policies and procedures and conduct training as needed.
• Investigate, resolve and document compliance issues with senior management.
• Maintain and update the Compliance Manuals.
• Perform due diligence on third party service providers.
• Administer the compliance oversight program for intermediaries distributing open-end funds.
• Review filings including Form ADV, FINRA and CFTC filings and disclosure documents.
• Assist in administering personal trading policy and review of employee electronic communications.
• Prepare documents and responses for regulatory examinations and external audits.

Skills

Excellent writing and communication

Organization & prioritization

Attention to detail

Team player

Inclusive culture

Regulatory awareness

Education

Bachelor’s degree

Series 7 license or willingness to obtain

Series 24 license

Tools

Microsoft Office

MCO compliance software

Global Relay

Co-Pilot / AI tools

Job description

Job Title

Associate Director, Regulatory Compliance

Department

Legal & Compliance

Reports To

Vice President, Regulatory Compliance

FLSA Code

Exempt

Estimated Salary

$130,000 - $150,000

Job Summary

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.

Major Responsibilities/Activities

• 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

Minimum 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; 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
• 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

Note

This job description reflects management’s assignment of essential functions; it does not prescribe or restrict the tasks that may be assigned. The job title or duties and responsibilities may be changed by the Company at any time.