Janus Henderson Investors Head of Investment Compliance, North America in Denver, Colorado
We are a leading independent global asset manager, dedicated to delivering the best outcomes for our clients through a highly diversified range of actively-managed products. We are truly global, supporting our individual and institutional investors across a range of products, encompassing equities, fixed income, multi-asset and alternatives. Our high-energy and collaborative culture at Janus Henderson helps our client achieve their goals and ensures that our people love the place they work.
Overview of the role
The Head of Investment Compliance for North America is a highly visible and critical role within the firm, responsible for the strategic vision, control environment, and day-to-day management of the Investment Compliance team and processes. This includes setting compliance standards and ensuring the framework is in place to proactively identify and manage compliance risks. The successful candidate will use their leadership experience, understanding of the regulations, relationship building capabilities and tech-savvy ideas, to provide timely regulatory compliance advice and creative guidance to all levels within the organization to ensure business support and adoption, transparency, consistency in approach and risk mitigation. They will also build trust, inspire confidence and develop relationships with our clients and regulatory/governing bodies and demonstrate that the investment compliance approach is proactive and preventative.
Duties and responsibilities
Provide leadership and guidance to a team of compliance professionals who are responsible for Investments oversight, including implementation of pre and post trade guideline monitoring and maintenance of guideline systems and protocols.
Oversee trade desk support and surveillance, including the maintenance of effective material non-public information (MNPI) control environment.
Keep abreast of regulatory developments and hot topics apparent from regulatory sanctions, thematic reviews and enforcement actions so that guidance can be given to the business, primarily the front office investment teams, on the impact of regulations which affect the relevant business areas.
Represent Investment Compliance in relevant investment management committees, forums and working groups focused on regulatory issues and other projects.
Provide advisory support to the global compliance team, including application of compliance policies.
Promote awareness through effective training and communications.
Develop and deliver quality reporting on compliance and regulatory issues to senior management, at client due diligence and for relevant corporate and fund boards.
Establish and maintain relationships with senior management across the business and within Compliance globally.
Anticipate and provide solutions to complicated problems and be capable of presenting them in a clear and compelling manner.
Oversee and advise on matters related to brokerage and commission practices for the firm.
Provide timely and actionable advice to portfolio managers and analysts regarding acceptable research and investment techniques.
Technical skills and qualifications
Bachelor's degree and relevant industry experience required.
Proven track record in leading an Investment Compliance team for a financial services firm.
Solid working knowledge of Charles River, investment compliance methodologies and techniques necessary.
Significant compliance experience across a broad range of products and investment management disciplines.
Strong knowledge of equity and fixed income securities and derivatives products required.
Robust knowledge of fund management processes, instruments, products and funds.
Knowledge of offshore products and regulatory regimes would be an advantage (e.g. Luxembourg, Ireland, UK, and Hong Kong).
Proficient computer skills including trading systems and tools, Microsoft Office, particularly Word, Excel and Outlook.
FINRA (S7, S24, S9/10) or NFA (S3) licenses a plus.
In addition to putting clients first, acting like an owner, and succeeding as a team, the competencies for this role include:
Proven leadership experience and the ability to recruit retain and develop great talent.
Strong analytical skills, attention to detail and ability to exercise balanced judgment and decision making.
High energy, positive attitude, enthusiastic, professional, with a strong work ethic.
Excellent communication and influencing skills - ability to manage client expectations and competing priorities.
Comfortable dealing with portfolio managers, traders and other divisions within an asset management firm.
Good planning, prioritization, problem solving and organizational skills.
Ongoing competence in the role to be assessed, in line with applicable regulatory requirements, by:
Annual performance appraisal.
Completion of all assigned compliance training.Compliance requirementsAt a minimum the role will require you to:
Place the interest of Janus Henderson’s Clients first, act in accordance with TCF (Treating Customers Fairly) principles.
Understand and follow laws and regulations applicable for your role, seeking the help of your supervising manager or Compliance if additional guidance is required.
Understand and abide by all Janus Henderson policies applicable to your role, and seek support/guidance of the policy owner guidance when required.
You are ultimately accountable for your actions and responsible for seeking further information on any or all of the above as necessary
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).
All applicants must be willing to comply with the provisions of Janus Henderson Investment Advisory Code of Ethics related to personal securities activities and other disclosure and certification requirements, including past political contributions and political activities. Applicants’ past political contributions or activity may impact applicants’ eligibility for this position. Janus Henderson 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. All applications are subject to background checks.