Director, Compliance - Marketing Review

Job Title: Director, Compliance - Marketing Review

Department: Legal & Compliance

Reports To: Vice President, Regulatory Compliance

FLSA Code: Exempt

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

Job Summary:

Cohen & Steers is seeking an experienced compliance professional to join a dynamic team responsible for the administration of its regulatory compliance program. This position is primarily responsible for review of institutional and retail marketing materials along with other responsibilities related to reviewing, monitoring and implementing the compliance programs of registered advisers, registered funds, a limited purpose broker-dealer and private/non-listed investment products.

The successful candidate will be well rounded with substantial experience in marketing compliance. They 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.

Major Responsibilities/Activities:

• Review, approve and provide advice on institutional and retail marketing materials across a range of strategies and products, including US registered and private funds, SMAs and SICAVs
• Review requests for proposal, due diligence questionnaires and other client communications
• Analyze marketing and distribution rules and regulations, including regulatory developments, to assess the commercial impact on the businesses covered
• Review electronic messages
• Assist with maintaining and updating the firm’s Disclosure Library
• Conduct reviews, testing and monitoring of compliance policies and procedures
• Implement revisions to policies and procedures in response to testing results or changes in regulatory or company landscape and conduct training as necessary
• Lead or participate in other compliance projects as assigned
  
  
  

Minimum Requirements:

• 8-10 years of experience implementing compliance programs for an SEC Registered Investment Advisor and/or Broker Dealer
• 5 years of experience performing marketing compliance reviews, preferably including 3 years of experience applying SEC Rule 206(4)-1
• Series 7 and 24 FINRA registrations
• Bachelor’s degree required
• Ability to manage priorities and handle multiple projects simultaneously is essential
• 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
• Excellent computer skills and knowledge of MS Office, including Outlook, Word, Excel, and PowerPoint
• Experience with AdMaster and Global Relay (or equivalent systems) a plus
  
  
  

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.