Compliance Associate - Marketing Review

  • Competitive
  • New York, NY, USA
  • Permanent, Full time
  • Cohen & Steers
  • 09 Jul 18

Cohen & Steers is seeking an experienced compliance professional to join a dynamic team responsible for the administration of its regulatory compliance program. This position is responsible for assisting in reviewing and approving marketing materials and communications. The associate will also assist in the administration of the firm’s personal trading policy and electronic communications reviews. The ideal candidate would be willing to grow professionally, assume progressively higher responsibilities and build his or her career within the Cohen & Steers group.

Major Responsibilities/Activities:

• Performs timely review and approval of all marketing materials and communications utilizing AdMaster
• Maintain marketing material review system (AdMaster) as necessary (i.e. workflows, disclosures, profiles, etc.)
• File marketing materials with FINRA as required
• Review RFPs, due diligence questionnaires and other client communications
• Assists in the administration of the firm’s Code of Ethics program, including personal trading, gifts and entertainment, outside business activities and political contributions utilizing the automated Code of Ethics reporting system 
• Assist with the automated employee surveillance review system, review exceptions flagged and maintain and code lexicons and rules in the system
• Aid with periodic audits, risk assessments and compliance reviews
• Conduct OFAC/ SDN checks of employees, clients, vendors and other business partners
• Draft and update policies and procedures; update compliance manuals as necessary
• Assist with FINRA licensing, including registration of associated persons and ongoing continuing education   
• Perform other compliance-related responsibilities and special projects as needed


• Bachelor’s degree and minimum 3 years compliance experience 
• Series 7, 24 licenses preferred or must be willing to obtain within 6 months of hire
• Knowledge of Investment Adviser and Broker Dealer regulations 
• Basic knowledge of Marketing and Regulatory Compliance regulations and review of marketing materials
• Proven strong verbal and written communication skills and good standard of computer literacy
• Team player with the ability to partner with colleagues across the firm and confidence to work with senior members of staff
• Good organizational skills and attention to detail
• Proficient in Microsoft Office; experience with Admaster, PTA and Global Relay is a plus  
• Ability to manage priorities and handle multiple projects simultaneously  

Note: This job description reflects management's assignment of essential functions; it does not prescribe or restrict the tasks that may be assigned.