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Cohen & Steers · 3 days ago

Senior Associate, Portfolio Compliance

New York, NY

Full-time

Hybrid

Mid, Senior Level

$100K/yr - $110K/yr

1+ years exp

Cohen & Steers is committed to an inclusive culture, valuing diversity in support of our people and clients. This role provides an opportunity to liaise directly with back office and infrastructure, the trading desk and front office, while being responsible for monitoring current holdings and daily trading activity against client guidelines, restrictions, internal policies/procedures, and relevant regulatory requirements.

Finance

Growth Opportunities

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

Qualification

Capital markets knowledgeRegulatory compliance knowledgeBloomberg proficiencyAnalytical skillsTime managementCommunication skillsOrganizational skillsTeamworkAttention to detailSelf-starter

Required

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

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)

Preferred

SIE & Series 7 preferred or willingness to obtain

Company

Cohen & Steers

Glassdoor3.8

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

New York, New York, USA

201-500 employees