Director, Regulatory Compliance - Broker Dealer

Job Title: Director, Regulatory Compliance - Broker Dealer

Department: Legal & Compliance

Reports To: Vice President, Regulatory Compliance

FLSA Code: Exempt

Estimated Salary: $150,000 - $200,000

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 experience helping execute a compliance program for a registered broker-dealer. The successful candidate will also possess a combination of in-depth expertise, familiarity with 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:

• Maintain and implement compliance program for a limited purpose broker-dealer which serves as the distributor of registered funds and private/non-listed investment products
• Address licensing & registration, reporting, continuing education, training, written supervisory procedures, evidence of supervisory delegation, non-branch and OSJ inspections and other SEC/FINRA regulatory requirements
• Provide guidance on and remain up-to-date on regulatory developments and industry best practices
• Support Chief Compliance Officer in liaising with regulatory authorities, responding to inquiries and coordinating regulatory examinations
• Help maintain and implement the firm’s adviser and fund AML/KYC compliance programs
• Work with registered funds’ transfer agent to resolve and address exceptions (e.g., SEC Rule 22c-1, new accounts, AML/KYC)
• Perform special projects and ad hoc assignments, as required
  
  
  

Minimum Requirements:

• Bachelor’s degree required
• 8 to 12 years helping execute compliance programs at a registered broker-dealer, investment adviser, bank, or financial services firm
• Series 7 license (willing to obtain the Series 24 and 99 within six months of hire)
• Excellent computer skills and knowledge of MS Office
• Experience using FINRA Gateway system
• 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.