Associate Director, Regulatory Compliance

Job Title: Associate Director, Regulatory Compliance 

Department: Legal & Compliance

Reports To: Vice President, Regulatory Compliance

FLSA Code: Exempt

Estimated Salary: $125,000 - $140,000

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 responsible for reviewing, monitoring and helping to implement the compliance program of registered investment advisers, registered funds in the U.S. and Europe, a limited purpose broker-dealer and private/non-listed investment products. The review of institutional and retail marketing materials will be a meaningful part of the role. Over time, this individual will develop deep subject-matter expertise across the firm’s registered business and across the vehicle and entity types described above.

The successful candidate will be a well-rounded regulatory compliance professional with experience in marketing compliance. They will also 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:

• Review, approve and provide advice on (and overtime, become a subject matter expert on) institutional and retail marketing materials across a range of strategies and products, including US registered and private funds, SMAs and SICAVs
• Serve as a go-to compliance resource for marketing and distribution partners, escalating complex or novel issues to senior compliance leadership as appropriate
• Assist in the development, maintenance and implementation of the firm’s registered adviser and registered fund compliance programs
• 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
• Support the maintenance and enhancement of 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
• Assist with implementing revisions to policies and procedures in response to testing results or changes in regulatory or company landscape and conduct training as necessary
• Remain up-to-date on regulatory developments and industry trends to provide guidance and expertise on compliance matters and promote examination preparedness
• Participate in other compliance projects as assigned

Minimum Requirements: 

• 4-6 years of experience supporting and/or implementing compliance programs for an SEC Registered Investment Advisor and/or Broker Dealer
• 4 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
• Demonstrated ability to manage priorities and handle multiple projects simultaneously is essential
• Strong written, verbal, and presentation communication skills 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
• 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.