Cohen and Steers
Job Title: Senior Associate, Portfolio Compliance Department: Legal & Compliance Reports To: SVP, Head of Portfolio Compliance FLSA Code: Non-Exempt Estimated Salary: $100,000 - $110,000 Job Summary: This role provides an opportunity to liaise directly with back office and infrastructure, the trading desk and front office. This is a dynamic position with room to grow in a field with technical, regulatory reporting and forensic testing opportunities. Responsible for 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, valuing diversity in support of our people and clients. Major Responsibilities/Activities: * 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) 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.