Associate Director, Investment & Trading Compliance

Job Title: Associate Director, Investment & Trading Compliance

Department: Legal & Compliance

Reports To: SVP, Head of Investment & Trading Compliance

FLSA Code: Non-Exempt

Estimated Salary: $125,000 - $135,000

Job Summary:

This role provides an opportunity to liaise directly with back office and infrastructure, the trading desk and front office. This is a dynamic position with room to grow in a field with technical, regulatory reporting and forensic testing opportunities. Responsible for monitoring current holdings and daily trading activity against client guidelines, restrictions, internal policies/procedures, and relevant regulatory requirements for our proprietary mutual funds and registered investment advisers. Cohen & Steers is committed to an inclusive culture, valuing diversity in support of our people and clients.

Major Responsibilities/Activities:

• Autonomously evaluate and action pre-trade and post-trade compliance alerts in coordination with a variety of teams including the trading desk and back-office departments
• Review all daily compliance and trading reports, coordinating with various Departments for identification and resolution
• Prepare and finalize regulatory section 13 filings.
• Work with Relationship Management, Compliance, Legal, Portfolio Management and Information Technology to respond to client requests for reporting
• Identify ways of creating efficiencies/improving processes in the program applying best practices in coordination with the firm’s technology team
• Review historical activity to accurately prepare client certifications
• Review, prepare, and submit foreign ownership disclosure filings, foreign takeover panels and shareholder disclosure requests
• Monitor any manual rules of client account restrictions, based on the frequency determined by the control’s risk assessment
• Manage and keep all team documents (including policies, procedural documents, checklists and agendas) current and up to date
• Perform various reconciliation projects ensuring different systems are in sync
• Undertake special compliance-related projects, as assigned
  
  
  

Minimum Requirements:

• Bachelor’s degree with a minimum of 5 years of relevant experience, primarily in an asset management organization
• Solid working knowledge and understanding of capital markets; experience with fixed income, equity and derivative instruments highly desirable
• Knowledge of the Investment Advisers Act of 1940, the Investment Company Act of 1940, the Securities Exchange Act of 1934, CFTC, NFA, FINRA and other regulatory requirements and/or experience with foreign regulations highly desirable
• A self-starter who takes initiative and works independently with a team focused mindset.
• Strong analytical and time management skills with excellent attention to detail and the ability to exercise good judgment
• Excellent verbal and written communication skills
• Excellent organizational skills and the ability to prioritize multiple requests from a variety of sources to meet deadlines in a fast-paced, dynamic environment
• Proficiency in Bloomberg and other major software applications
• SIE & Series 7 preferred or willingness to obtain
• 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.