Associate Director, Investment & Trading Compliance

Job Title: Associate Director, Investment Trading Compliance Department: Legal Compliance Reports To: SVP, Head of Investment Trading Compliance FLSA Code: Non-Exempt Estimated Salary: $125,000 - $135,000 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.

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.

: Bachelor’s degree with a minimum of 5 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

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 Agrees to comply with the firm’s hybrid work policy (“work from home policy,” as aligned with the Company’s employee handbook), which currently requires reporting to the Company’s New York City office four (4) days per week, with one (1) remote workday permitted. Note: This job description reflects management's assignment of essential functions; it does not prescribe or restrict the tasks that may be assigned.

Responsibilities

/Activities: Autonomously evaluate and action pre-trade and 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 Prepare and finalize regulatory section 13 filings.

may be changed by the Company at any time.