Director, Regulatory Compliance

Job Title: Director, Regulatory Compliance

Department: Legal & Compliance

Reports To: Vice President, Regulatory Compliance

FLSA Code: Exempt

Estimated Salary: $150,000 - $180,000

Job Summary:

Join a team of experienced professionals who administer a global program for compliance with federal securities and commodity laws, rules of self-regulatory organizations and equivalent requirements in non-US jurisdictions. The team partners across business areas to establish, maintain and develop strong client relationships and effective controls to thoughtfully manage an integrated compliance program that is reflective of the developing domestic and international regulatory landscape. Our program governs registered advisers, registered funds, a limited purpose broker-dealer and private/non-listed investment products. The Regulatory Compliance team also provides training and guidance to employees concerning their daily compliance responsibilities, including areas such as personal trading, gifts and entertainment, political contributions, and regulatory licensing and registration.

The successful candidate will be well rounded with substantial experience executing a compliance program for a U.S. registered adviser and registered fund. The successful candidate will also possess a combination of in-depth expertise, familiarity with modern asset management products and services, intense curiosity, strong work ethic, excellent verbal and written communication skills, and proven success at collaborating with and advising a diverse set of individuals and constituencies. Cohen & Steers is committed to an inclusive culture, valuing diversity in support of our people and clients. Cohen & Steers is committed to an inclusive culture, valuing diversity in support of our people and clients.

Major Responsibilities/Activities:

• Develop, maintain and implement the firm’s registered adviser and registered fund compliance programs
• Collaborate with other departments to develop, maintain and implement policies and procedures that promote compliance with regulatory requirements and industry best practices
• Remain up-to-date on regulatory developments and industry trends to provide guidance and expertise on compliance matters and promote examination preparedness
• Support Chief Compliance Officers in liaising with regulatory authorities, responding to inquiries and coordinating regulatory examinations
• Help develop and deliver compliance training programs
  
  
  

Minimum Requirements:

• Bachelor’s degree required
• 8 to 10 years compliance experience under both the Advisers Act and the Investment Company Act
• Demonstrate drive for high-impact contributions and exhibit potential for future leadership
• Preference for candidates with a relevant FINRA license or broker-dealer experience
• Excellent computer skills and knowledge of MS Office, including Outlook, Word, Excel, and PowerPoint
• Experience with AdMaster, MyComplianceOffice and Global Relay (or equivalent systems) a plus
• Excellent communication skills (effective in oral, written and presentation settings)
• Strong interpersonal skills with the ability to build relationships within and outside the company
• Superior organizational skills; careful and thorough, with particular attention to detail
  
  
  

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.