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About the Role

This role is responsible for administering and implementing regulatory compliance programs for Cohen & Steers investment advisers and registered investment companies, ensuring adherence to key regulations like Rule 38a-1 and Rule 206(4)-7. The successful candidate will possess technical knowledge, familiarity with asset management, intellectual curiosity, a strong work ethic, and excellent communication skills, with the ability to manage multiple projects effectively.

Responsibilities

Conduct periodic forensic testing and monitoring for annual compliance reviews.
Identify potential conflicts and risk areas within business units, focusing on regulatory priorities.
Review and update compliance policies and procedures, including those related to the Investment Company Act of 1940 and the Investment Advisers Act.
Implement policy revisions and conduct necessary training.
Investigate, resolve, and document compliance issues, reporting to senior management and the board of directors.
Maintain and update the company’s Compliance Manuals.
Conduct due diligence on third-party service providers.
Administer the compliance oversight program for fund intermediaries.
Review and assist in preparing regulatory filings and disclosure documents.
Assist in administering the personal trading policy and reviewing employee electronic communications.
Assist in producing documents and responses for regulatory examinations and audits.

Requirements

Bachelor’s degree and 4-6 years of compliance experience.
Series 7 preferred or willingness to obtain within 12 months of hire; Series 24 license required.
Solid understanding of regulatory agencies (FINRA, CFTC, FCA) and the Investment Advisers Act of 1940 and Investment Company Act of 1940.
Excellent writing, communication, and presentation skills.
Well-organized with the ability to manage multiple projects and prioritize effectively.
High attention to detail and ability to maintain orderly documentation.
Proficient in Microsoft Office.
Proficient in Co-Pilot and/or similar artificial intelligence tools.
Team player with the ability to partner with colleagues across the firm.
Demonstrates inclusive behaviors and supports a culture valuing diverse perspectives.
Agrees to comply with the firm’s hybrid work policy.

Skills

Technical knowledge
Familiarity with modern asset management products and services
Intellectual curiosity
Strong work ethic
Strong verbal and written communication skills
Prioritizing multiple projects
Tactful business judgment
Poise
Microsoft Office proficiency
MCO (or equivalent code of ethics and personal trading software) experience is a plus
Global Relay experience is a plus
Co-Pilot and/or similar artificial intelligence tools proficiency

Location

New York City office

Work Type

Hybrid
Four days per week in office
One remote workday permitted

Experience Level

4-6 years compliance experience

Education Level

Bachelor’s degree

Salary/Compensations

$130,000 - $150,000

About the Company

Cohen & Steers is committed to an inclusive culture, valuing diversity in support of our people and clients.