Janus Henderson Investors Manager, Investment Compliance 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
Responsible for assisting with and performing a variety of activities in the Investment Compliance group to monitor compliance with federal and state regulatory requirements, operating policies, and fund/client imposed investment limitations with a focus on equity, fixed income and derivative products. The role will provide daily support to Trading and Trade Operations staff with respect to funds and client account trading. The successful candidate will use their leadership experience, compliance background, relationship building capabilities and tech-savvy ideas, to monitor and enhance pre and post trade support. They will also build trust and develop relationships with key internal stakeholders including technology, trading, portfolio managers and trade support staff.
Duties and responsibilities
Provide guidance to Trading and Trade Operations regarding daily compliance issues and resolution.
Perform routine and/or moderately complex activities such as reviewing and interpreting client investment guidelines, fund disclosure, and using Charles River Investment Management System to systematically monitor trading activity.
Review and prepare compliance reports to support on-going compliance monitoring and testing as well as to provide documentation and information to management.
Maintain relationships with internal and external clients and vendors as applicable.
Identify and communicate potential compliance issues to management and recommend corrective action.
Conduct research and prepare documentation for daily trade monitoring as well as ad-hoc requests.
Work closely with Janus Legal department to ensure appropriate application of regulatory or client requirements.
Technical skills and qualifications
Bachelor's degree and relevant industry experience required
A minimum of 5 years asset management and/or financial services industry experience, preferably in Compliance
Advanced working knowledge of Charles River, investment compliance methodologies and techniques necessary
Strong knowledge of equity and fixed income securities and derivatives products required
Significant compliance experience within asset management across a broad range of products and investment management disciplines required
Report writing and technical experience a plus
In addition to putting clients first, acting like an owner, and succeeding as a team, the competencies for this role include:
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.
Solid knowledge of fund management processes, instruments, products and funds.
Proficient computer skills including trading systems and tools, Microsoft Office, particularly Word, Excel and Outlook.
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
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.