Hybrid Regulatory Compliance Associate Director

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

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.