134 Director, Regulatory Compliance Jobs in New York, NY
Cohen & Steers is Hiring a Director, Regulatory Compliance Near New York, NY
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
- 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
Job Summary
Full Time
Investment Management
$186k-238k (estimate)
06/09/2024
07/07/2024
cohenandsteers.com
NEW YORK, NY
200 - 500
1986
ROBERT H STEERS
$200M - $500M
Investment Management
Related Companies
About Cohen & Steers
Cohen & Steers is a global investment manager specializing in liquid real assets, including real estate securities, listed infrastructure, and natural resource equities, as well as preferred securities and other income solutions. Founded in 1986, the firm is headquartered in New York City, with offices in London, Dublin, Hong Kong, and Tokyo. Follow to see more customized feed content. Important Disclosures: http://www.cohenandsteers.com/Social_Media_Guidelines.pdf
The job skills required for Director, Regulatory Compliance include Written Communication, Leadership, Communication Skills, Presentation, Work Ethic, Attention to Detail, etc. Having related job skills and expertise will give you an advantage when applying to be a Director, Regulatory Compliance. That makes you unique and can impact how much salary you can get paid. Below are job openings related to skills required by Director, Regulatory Compliance. Select any job title you are interested in and start to search job requirements.
The following is the career advancement route for Director, Regulatory Compliance positions, which can be used as a reference in future career path planning. As a Director, Regulatory Compliance, it can be promoted into senior positions as a Top Compliance Executive that are expected to handle more key tasks, people in this role will get a higher salary paid than an ordinary Director, Regulatory Compliance. You can explore the career advancement for a Director, Regulatory Compliance below and select your interested title to get hiring information.
Similar Jobs
Popular Articles
