Associate Director, Investment & Trading Compliance at Cohen & Steers

<p><strong>Job Title: </strong>Associate Director, Investment &amp; Trading Compliance</p> <p><strong>Department:&nbsp;</strong>Legal &amp; Compliance</p> <p><strong>Reports To:</strong> SVP, Head of Investment &amp; Trading Compliance</p> <p><strong>FLSA Code:</strong> Non-Exempt</p> <p><strong>Estimated Salary:</strong> $125,000 - $135,000&nbsp;</p> <p><strong>&nbsp;</strong></p> <p><strong>Job Summary:</strong></p> <p>This role provides an opportunity to liaise directly with back office and infrastructure, the trading desk and front office.&nbsp; This is a dynamic position with room to grow in a field with technical, regulatory reporting and forensic testing opportunities.&nbsp; Responsible for monitoring current holdings and daily trading activity against client guidelines, restrictions, internal policies/procedures, and relevant regulatory requirements<strong> </strong>for our proprietary mutual funds and registered investment advisers.&nbsp;Cohen &amp; Steers is committed to an inclusive culture, valuing diversity in support of our people and clients.</p> <p>&nbsp;</p> <p><strong>Major Responsibilities/Activities:</strong></p> <ul> <li>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</li> <li>Review all daily compliance and trading reports, coordinating with various Departments for identification and resolution</li> <li>Prepare and finalize regulatory section 13 filings.</li> <li>Work with Relationship Management, Compliance, Legal, Portfolio Management and Information Technology to respond to client requests for reporting</li> <li>Identify ways of creating efficiencies/improving processes in the program applying best practices in coordination with the firm’s technology team</li> <li>Review historical activity to accurately prepare client certifications</li> <li>Review, prepare, and submit foreign ownership disclosure filings, foreign takeover panels and shareholder disclosure requests</li> <li>Monitor any manual rules of client account restrictions, based on the frequency determined by the control’s risk assessment</li> <li>Manage and keep all team documents (including policies, procedural documents, checklists and agendas) current and up to date</li> <li>Perform various reconciliation projects ensuring different systems are in sync</li> <li>Undertake special compliance-related projects, as assigned</li> </ul> <p><strong>&nbsp;</strong></p> <p><strong>Minimum Requirements: </strong></p> <ul> <li>Bachelor’s degree with a minimum of 5 years of relevant experience, primarily in an asset management organization</li> <li>Solid working knowledge and understanding of capital markets; experience with fixed income, equity and derivative instruments highly desirable</li> <li>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</li> <li>A self-starter who takes initiative and works independently with a team focused mindset.</li> <li>Strong analytical and time management skills with excellent attention to detail and the ability to exercise good judgment</li> <li>Excellent verbal and written communication skills</li> <li>Excellent organizational skills and the ability to prioritize multiple requests from a variety of sources to meet deadlines in a fast-paced, dynamic environment</li> <li>Proficiency in Bloomberg and other major software applications</li> <li>SIE &amp; Series 7 preferred or willingness to obtain</li> <li>Demonstrates inclusive behaviors in support of a culture that values diverse perspectives</li> <li>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.</li> </ul> <p>&nbsp;</p> <p><strong><em>Note: </em></strong><em>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.</em></p>