Job Information
Janus Henderson Investors Compliance Manager in Denver, Colorado
Why work for us?
Janus Henderson is a leading global active asset manager. We exist to help our clients achieve their long-term financial goals. Our team exemplifies our values of putting clients first, acting like owners and succeeding as a team. Our culture is high-energy, collaborative, and forward-thinking with opportunities to grow in an exciting career. We invite you to consider joining our dynamic, global team!
Our culture is the foundation for how we interact with clients and one another as part of our unique, people-focused work environment. We support a flexible hybrid working model that allows teams to build a strong and positive culture by inspiring innovation and increasing collaboration. Currently our hybrid working model allows employees to work 3 or more days in office and the remaining time remotely.
Employees and Managers will discuss and determine what schedule works best for them and the team, with additional flexibility available based on the role, business needs, and individual circumstances. JHI Workplace Practices is subject to change as the future of work within our organization evolves.
Your opportunity
Janus Henderson is seeking a compliance professional to support the U.S. Distribution Compliance team
Review advertising and marketing materials pursuant to FINRA and SEC Regulations and GIPS standards
Provide timely, creative, clear, and thoughtful guidance to business partners and team members on advertising compliance matters for existing products and new product launches
Collaborate with internal partners and be exceptional at developing and nurturing professional relationships
Stay abreast of changing regulations that impact our business
Be a change agent in optimizing, implementing, and continuously evolving best-in-class review processes, policies, and procedures
Proven leader in influencing other departments and teams (i.e., sales, marketing, product management, public relations, etc.) to support the development and/or execution of Compliance initiatives
Lead and assist on ad-hoc and recurring projects affecting the broader compliance department and business units
Carry out other duties as assigned
What to expect when you join our firm
Hybrid working and reasonable accommodations
Generous Holiday policies
Paid volunteer time to step away from your desk and into the community
Support to grow through professional development courses, tuition/qualification reimbursement and more
All-inclusive approach to Diversity, Equity and Inclusion
Maternal/paternal leave benefits and family services
Complimentary subscription to Headspace – the mindfulness app
Corporate membership to ClassPass and other health and well-being benefits
Unique employee events and programs including a 14er challenge
Complimentary beverages, snacks and all employee Happy Hours
Must have skills
FINRA SIE, Series 7 and 24 registrations required
8 years' of experience in the financial services industry with a significant emphasis on compliance analysis of broker dealer and advisory advertising
Proven in-depth knowledge and understanding of applicable SEC and GIPS requirements for investment advisers; familiarity with CFTC and FINRA regulations for exchange traded products and mutual funds
Experience applying FINRA advertising regulations to social media and public relations related communications
Outstanding time management, organizational and follow-up skills to effectively plan and independently take tasks to completion within specified time frames
Ability to manage and prioritize multiple tasks simultaneously, maintain focus and provide exceptional service levels in a dynamic environment
Intermediate to advanced computer skills, including social media software, electronic workflow systems, Microsoft Word and Excel
Nice to have skills
Bachelor's degree or equivalent
Experience in analysis of institutional/advisory advertising including private funds and separately managed accounts
Be skillful at identifying and proactively resolving issues, including offering solutions and alternatives within regulatory frameworks
Scrupulous attention to detail and accuracy
Ability to master technology-driven Ad Review system, manage automated workflows, and produce reports
Potential for growth
Mentoring
Leadership development programs
Regular training
Career development services
Continuing education courses
Compensation information
The base salar range for this position is $100,000-$110,000. This range is estimated for this role. Actual pay may be different.
#LI-CM1, #LI-Hybrid
Annual Bonus Opportunity: Position is eligible to receive an annual discretionary bonus award from the profit pool. The profit pool is funded based on Company profits. Individual bonuses are determined based on Company, department, team and individual performance.
Benefits: Janus Henderson is committed to offering a comprehensive total rewards package to eligible employees that includes; competitive compensation, pension/retirement plans, and various health, wellbeing and lifestyle benefits. To learn more about our offerings please visit the Why Join Us section on the career page here (https://www.janushenderson.com/careers/) .
Janus Henderson Investors is an equal opportunity / Affirmative Action employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability or veteran status.
Janus Henderson (including its subsidiaries) will not maintain existing or sponsor new industry registrations or licenses where not supported by an employee’s job functions (as determined by Janus Henderson at its sole discretion).