Janus Henderson Investors Internal Audit Manager 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 Global Internal Audit team’s primary objective is to provide an independent assurance service to the Board, Audit Committee and Executive Management on the adequacy and effectiveness of Janus Henderson Group’s governance, risk management and internal control processes, including:
The framework for, and effectiveness of, risk management.
Whether significant risks are appropriately being identified, reported, managed and controlled to an acceptable level as determined by the Board.
Whether financial and operational controls are appropriate and are consistently applied.
The effectiveness of internal controls for the safeguarding of assets and for protecting shareholder value.
The reliability and integrity of significant financial, managerial and operating information.
The establishment and review of risk appetite by the Executive Management and the Board and embedding it within the organisation.
The risk and control culture of the organisation.
The adequacy of processes to ensure compliance with applicable laws and regulations and standards, policies, procedures and contracts, including the risk of poor customer outcomes.
Duties and responsibilities
Contribute to the overall success of the Global team and all of its endeavors.
Plan and manage audit assignments to evaluate the effectiveness of the controls in operation in the business and information systems and, where appropriate, to make recommendations for their improvement. This includes providing an opinion on the quality of the risk management processes.
Contribute to an increased awareness in the business of the management of risk and the importance of sound business controls.
As appropriate, develop, train and coach other members of the global team in the skills required to perform successful audit assignments.
Contribute to the development of the internal audit methodology and working practices operated by the department.
Contribute to the creation and maintenance of the risk-rated audit universe.
Contribute to the preparation of Audit Committee and other Board reports.
Continuously develop own technical, commercial and personal skills.
Promote a positive image of the global team throughout the business by ensuring consistent quality of work and a reliable positive Global team attitude.
Maintain clear and transparent communication with the business and the Global Internal Audit team throughout all engagements and other assigned work.
Coordinate the work performed by other team members or third-party audit service providers
Carry out additional duties as assigned.
Execution of Audits:
In collaboration with the Senior IA Manager – Distribution, Corporate and Operations (DCO), determine the scope of work, the objectives to be met, the time table for completing the audit and the extent of audit testing that will be required is established. In addition, considerations of the auditee’s conflicting business requirements/deadlines as well as potential value adding deliverables will be considered and planned for. An engagement memo with this information will be developed and communicated to relevant stakeholders.
Execution of audit work as defined during the planning stage, which may include but is not limited to the documentation of systems and processes leading to the identification of key controls; undertaking and evaluating the results of audit testing; identifying weaknesses in controls and offering recommendations to management for their improvement.
Following the closing meetings with management, a draft audit report containing findings and recommendations for corrective actions will be submitted to management to enable them to confirm their action plans, establish estimated completion dates, and confirm corrective action owners. Following Internal Audit’s assessment of whether management’s remediation action plans adequately address the risk exposure, a final audit report will be issued.
Execution of Advisory Engagements:
Advisory services may range from formal engagements, defined by written agreements, to advisory activities, such as participating in standing or temporary management committees or project teams.
In collaboration with the Senior IA Manager – DCO, the scope of work, the objectives to be met, and the engagement timetable will be established. In addition, considerations of the auditee’s conflicting business requirements/deadlines as well as potential value adding deliverables will be considered and planned for.
Execution of the engagement as defined in the planning stage.
Details of advisory observations are reported to management in a format best suited for the situation, use and audience.
Monitoring of Remediation
Contribute to the monitoring of the agreed corrective action plans to ensure that they are on track for successful and timely completion. Additionally, take part in the corrective action audit which is performed annually.
Technical skills and qualifications
Thorough, practical knowledge of the audit process including planning, execution and completion of the audit engagement.
Attention to detail and accuracy.
Strong computer skills, specifically Word, Excel, PowerPoint, and SharePoint.
Ability to prioritize and manage multiple projects and people simultaneously.
Ability to work independently.
Ability to work through global working challenges such as communication preferences, cultural considerations and time zone differences.
Strong interpersonal skills, specifically the ability to develop and maintain positive, cooperative, and collaborative work relationships.
Advanced ability to write clear and concise audit reports and findings.
Strong written and verbal communications skills, including the ability to effectively express verbal and written viewpoints to varied audiences and cultures.
Ability to resolve audit conflicts with management positively and professionally.
Ability to travel to international locations.
Education minimum should be to a degree level or equivalent.
Preferred relevant professional qualification(s) e.g. Certified Public Accountant (CPA), Certified Internal Auditor (CIA), Certified Information Systems Auditor (CISA), Charted Financial Analyst (CFA), etc.
Preferred previous experience in a similar audit role within the Asset Management industry.
4 years of total experience in audit positions is required. Big four audit experience preferred.
In addition to putting clients first, acting like an owner, and succeeding as a team, the competencies for this role include:
Good analytical and problem-solving skills
Excellent organisational skills
Ability to work effectively in a team as well as independently
Delivery focus, ensuring work
Flexible, adaptable and ability to respond effectively to changing business needs
Positive and team-oriented attitude
Excellent communication skills and transparency
Ongoing competence in the role to be assessed, in line with applicable regulatory requirements, by:
Annual performance appraisal
Completion of all assigned compliance training
At 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.