Cohen & Steers
Job Title
Senior Associate, Portfolio Compliance
Company Cohen & Steers
Department Legal & Compliance
Reports To SVP, Head of Portfolio Compliance
Employment Status Full-time
Salary $100,000 - $110,000
Summary This role provides an opportunity to liaise directly with back office and infrastructure, the trading desk and front office. It is a dynamic position with room to grow in a field with technical, regulatory reporting and forensic testing opportunities. Responsibilities include monitoring current holdings and daily trading activity against client guidelines, restrictions, internal policies/procedures, and relevant regulatory requirements for our proprietary mutual funds and registered investment advisers. Cohen & Steers is committed to an inclusive culture that values diversity in support of our people and clients.
Responsibilities
Evaluate and resolve post-trade compliance alerts in coordination with a variety of teams including the trading desk and back-office departments
Review all daily compliance and trading reports, coordinating with various Departments for identification and resolution
Work with Relationship Management, Compliance, Legal, Portfolio Management and Information Technology to respond to client requests for reporting
Identify ways of creating efficiencies/improving processes in the portfolio compliance program applying best practices in coordination with the firm’s technology team
Create and manage changes related to the Firm’s and client instituted restricted lists (securities, issuers, brokers etc.)
Review historical activity to accurately prepare client certifications
Review, prepare, and submit foreign ownership disclosure filings, foreign takeover panels and shareholder disclosure requests
Monitor any manual rules of client account restrictions, based on the frequency determined by the control’s risk assessment
Manage and keep all team documents (including policies, procedural documents, checklists and agendas) current and up to date
Perform various reconciliation projects ensuring different systems are in sync
Monitor the Teams inbox to ensure all relevant requests are fulfilled in a timely manner
Undertake special compliance-related projects as assigned
Minimum Requirements
Bachelor’s degree with a minimum of 1-3 years of relevant experience, primarily in an asset management organization
Solid working knowledge and understanding of capital markets; experience with fixed income, equity and derivative instruments highly desirable
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
A self-starter who takes initiative and works independently with a team focused mindset
Strong analytical and time management skills with excellent attention to detail and the ability to exercise good judgment
Excellent verbal and written communication skills
Excellent organizational skills and the ability to prioritize multiple requests from a variety of sources to meet deadlines in a fast-paced, dynamic environment
Proficiency in Bloomberg and other major software applications
SIE & Series 7 preferred or willingness to obtain
Demonstrates inclusive behaviors in support of a culture that values diverse perspectives
Is able to abide by the firm’s hybrid work arrangement policy in New York City office (4 days in-office/1 day remote)
Legal Note 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.
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Company Cohen & Steers
Department Legal & Compliance
Reports To SVP, Head of Portfolio Compliance
Employment Status Full-time
Salary $100,000 - $110,000
Summary This role provides an opportunity to liaise directly with back office and infrastructure, the trading desk and front office. It is a dynamic position with room to grow in a field with technical, regulatory reporting and forensic testing opportunities. Responsibilities include monitoring current holdings and daily trading activity against client guidelines, restrictions, internal policies/procedures, and relevant regulatory requirements for our proprietary mutual funds and registered investment advisers. Cohen & Steers is committed to an inclusive culture that values diversity in support of our people and clients.
Responsibilities
Evaluate and resolve post-trade compliance alerts in coordination with a variety of teams including the trading desk and back-office departments
Review all daily compliance and trading reports, coordinating with various Departments for identification and resolution
Work with Relationship Management, Compliance, Legal, Portfolio Management and Information Technology to respond to client requests for reporting
Identify ways of creating efficiencies/improving processes in the portfolio compliance program applying best practices in coordination with the firm’s technology team
Create and manage changes related to the Firm’s and client instituted restricted lists (securities, issuers, brokers etc.)
Review historical activity to accurately prepare client certifications
Review, prepare, and submit foreign ownership disclosure filings, foreign takeover panels and shareholder disclosure requests
Monitor any manual rules of client account restrictions, based on the frequency determined by the control’s risk assessment
Manage and keep all team documents (including policies, procedural documents, checklists and agendas) current and up to date
Perform various reconciliation projects ensuring different systems are in sync
Monitor the Teams inbox to ensure all relevant requests are fulfilled in a timely manner
Undertake special compliance-related projects as assigned
Minimum Requirements
Bachelor’s degree with a minimum of 1-3 years of relevant experience, primarily in an asset management organization
Solid working knowledge and understanding of capital markets; experience with fixed income, equity and derivative instruments highly desirable
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
A self-starter who takes initiative and works independently with a team focused mindset
Strong analytical and time management skills with excellent attention to detail and the ability to exercise good judgment
Excellent verbal and written communication skills
Excellent organizational skills and the ability to prioritize multiple requests from a variety of sources to meet deadlines in a fast-paced, dynamic environment
Proficiency in Bloomberg and other major software applications
SIE & Series 7 preferred or willingness to obtain
Demonstrates inclusive behaviors in support of a culture that values diverse perspectives
Is able to abide by the firm’s hybrid work arrangement policy in New York City office (4 days in-office/1 day remote)
Legal Note 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.
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