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
You will plan and execute internal audits to evaluate the effectiveness of the controls in operation in the business to make recommendations for their improvement. This includes providing an opinion on the quality of the risk management processes.
Duties and responsibilities
Develop, train, and coach other members of the Global Internal Audit team in the skills required to perform successful audit assignments.
Assist in the preparation of Audit Committee papers for Janus Henderson Group as well as other reports required by specific fund Boards.
Assist the Front Office functional audit team in risk assessment and relationship management for the entire Investments department.
Perform peer reviews and quality review assessments of audit engagements performed by other auditors.
Evaluate the implementation of agreed corrective actions.
Contribute to an increased awareness in the business of the management of risk and the importance of sound business controls.
Contribute to the development of the internal audit methodology and working practices operated by the department.
Contribute to the creation and maintenance of the audit universe.
Continuously develop own technical, commercial and personal skills.
Promote a positive image of Internal Audit within the business through the quality and added-value of our work.
- This involves identifying the scope of the work for an audit, the objectives to be met, the timescales for completing the audit and the extent of audit testing that will be required. This stage of the audit will result in the production of an agreed Internal Audit Engagement Memo.
- This involves 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.
- On completion of the fieldwork, closing meeting(s) will be held with auditee Management to discuss the results of the audit and obtain agreement with them to the actions proposed.
- Following the closing meeting, a draft audit report containing findings, conclusions and proposed remediation/corrective actions will be submitted to auditee Management to enable them to confirm their action plans, with timescales for completion, and who will be responsible for completing the actions. Following Internal Audit’s assessment of whether the proposed Management remediation/corrective action plans adequately address the related risks, a final audit report will be issued which incorporates the agreed Management action plans.
Monitoring of Outcomes
- Contribute to the monitoring of the agreed remediation action plans to ensure that management is on track for successful and timely completion.
Technical skills and qualifications
Significant internal and/or external auditing experience
Significant previous experience in a similar audit role within the Financial Services Industry, preferably within Investment Management
Experience in auditing the Front Office and Investment Management activity is essential
Bachelor’s degree required, or minimum educated to degree level or equivalent
Relevant professional qualification preferred e.g. Certified Public Accountant (CPA), Certified Internal Auditor (CIA), Chartered Accountant (CA), Charted Financial Analyst (CFA), etc.
Experience in using Computer Assisted Audit techniques or Data Analytics will be a distinct advantage
Big 4 experience is desirable but not required
In addition to putting clients first, acting like an owner, and succeeding as a team, the competencies for this role include:
Ability to advise on multiple audit engagements simultaneously
Willingness to work collaboratively within the Global Internal Audit team as well as with the business areas
Demonstrate good time management
Excellent review, analytical, and problem solving skills
Excellent organisational and presentation skills
Excellent relationship and negotiation skills
Ability to communicate clearly and concisely
Flexible, adaptable, and ability to respond effectively to changing business needs
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.