Associate Director, Regulatory Compliance

Cohensteers

New York, NY, United States
Base: $125,000 - $140,000; bonus/equity: not speci...
On-site
Review institutional and retail marketing materials
Implement registered adviser compliance programs
Conduct employee electronic message surveillance
This position is responsible for reviewing, monitoring, and helping to implement the compliance program of registered investment advisers and funds in the U.S. and Europe

Job Summary

  • This position is responsible for reviewing, monitoring, and helping to implement the compliance program of registered investment advisers and funds in the U.S. and Europe.
  • The successful candidate will serve as a go-to compliance resource for marketing and distribution partners while escalating complex issues to senior leadership.
  • Cohen & Steers is committed to an inclusive culture that values diversity in support of its people and clients.

Matching Summary

This position is responsible for reviewing, monitoring, and helping to implement the compliance program of registered investment advisers and funds in the U.S. and Europe.

Salary

Base: $125,000 - $140,000; Bonus/Equity: Not specified; Benefits: Not specified

Skills & Requirements

Must-have

  • Review institutional and retail marketing materials
  • Implement registered adviser compliance programs
  • Conduct employee electronic message surveillance
  • Analyze SEC Rule 206(4)-1 regulations
  • Manage multiple projects with business judgment

Nice-to-have

  • Deep subject-matter expertise in asset management
  • Strong verbal and written communication skills
  • Intellectual curiosity and strong work ethic
  • Experience with private/non-listed investment products
  • Ability to build relationships across the firm

Key Requirements

  • 4-6 years experience in SEC Registered Investment Advisor or Broker Dealer compliance
  • 4 years experience performing marketing compliance reviews
  • 3 years experience applying SEC Rule 206(4)-1
  • Series 7 and 24 FINRA registrations required
  • Bachelor's degree required

Work Rights

Not specified

Tailored Resume

Cover Letter