Director, Compliance - Marketing Review

Job Title: Director, Compliance - Marketing Review

Department: Legal & Compliance

Reports To: Vice President, Regulatory Compliance

FLSA Code: Exempt

Estimated Salary: $175,000 - $195,000

Job Summary:

Cohen & Steers is seeking an experienced compliance professional to join a dynamic team responsible for the administration of its regulatory compliance program. This position is primarily responsible for review of institutional and retail marketing materials along with other responsibilities related to reviewing, monitoring and implementing the compliance programs of registered advisers, registered funds, a limited purpose broker-dealer and private/non-listed investment products. 

The successful candidate will be well rounded with substantial experience in marketing compliance. They will also possess a combination of in-depth expertise, familiarity with modern asset management products and services, intense curiosity, strong work ethic, excellent verbal and written communication skills, and proven success at collaborating with and advising a diverse set of individuals and constituencies.  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:

• Be a subject matter expert and review, approve and provide advice on institutional and retail marketing materials across a range of strategies and products, including US registered and private funds, SMAs and SICAVs
• Review requests for proposal, due diligence questionnaires and other client communications and queries for additional information
• Analyze marketing and distribution rules and regulations, including regulatory developments, to assess commerciality of messaging that will meet regulatory scrutiny
• Communicate compliance requirements in a clear and confident manner to all levels of the Firm
• Conduct employee electronic message surveillance to ensure compliance with policies and procedures
• Assist with maintaining and updating the firm’s Disclosure Library continuing to find ways to consolidate disclosure, adjust disclosure with changes to the business and the regulatory environment and explaining the relevance of disclosure with the business
• Conduct reviews, testing and monitoring of compliance policies and procedures including reviews of marketing materials for adherence to the relevant regulatory requirements
• Implement revisions to policies and procedures in response to testing results or changes in regulatory or company landscape and conduct training as necessary
• Lead or participate in other compliance projects as assigned

Minimum Requirements: 

• 8-10 years of experience implementing compliance programs for an SEC Registered Investment Advisor and/or Broker Dealer
• 5 years of experience performing marketing compliance reviews, preferably including 3 years of experience applying SEC Rule 206(4)-1
• Series 7 and 24 FINRA registrations
• Bachelor’s degree required
• Ability to manage priorities and handle multiple projects simultaneously is essential
• Excellent communication skills (effective in oral, written and presentation settings)
• Strong interpersonal skills with the ability to build relationships within and outside the company
• Demonstrates inclusive behaviors in support of a culture that values diverse perspectives
• Is able to abide by the firm’s hybrid work arrangement policy in New York City office (4 days in-office/1 day remote)

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.