Janus Henderson Investors Senior Legal Manager- Paralegal in Denver, Colorado
Janus Henderson Global Investors is a leading independent global asset manager, dedicated to delivering the best outcomes for clients through a broad range of actively managed funds.
We provide our institutional, retail and high net-worth individuals with access to skilled investment professionals representing a broad range of asset classes including, equities, fixed income, multi asset and alternatives.
We are a team of independent thinkers who work tirelessly to help our clients achieve their goals – and we do it by fostering an energetic and collaborative culture that ensures our people love the place they work.
Headquartered in London, Janus Henderson is a truly global asset manager with a diverse geographic footprint, managing assets from 27 offices globally and employing more than 2,000 staff.
Overview of the Role
The position requires someone with a proactive, team-based approach and strong attention to detail to perform the following primary responsibilities:
Regulated investment company annual contract review (15(c) process); regulated investment company contract management, including investment advisory agreements, investment sub-advisory agreements, and expense limitation agreements; regulated investment company policies and procedures management; annual director and officer questionnaire process; and drafting board materials. A significant portion of time may be spent on project work which is typically confidential and sensitive in nature.
Ongoing maintenance of complex mutual fund registrations and preparation of complex prospectuses, statements of additional information, supplements, and other regulatory filings for Janus Detroit Street Trust (DST) and Clayton Series Trust (CST). Also responsible for supporting other regulatory filings and reviewing various financial-related regulatory filings, such as annual and semiannual shareholder reports, quarterly/monthly portfolio holdings reports, annual census reporting, and annual proxy voting reports.
Duties and Responsibilities
Manage annual contract review process and prepare initial 15(c) response.
Manage regulated investment company contracts, including drafting updates, revisions and terminations as required.
Manage regulated investment company policies and procedures, including drafting updates, revisions and terminations as required.
Support attorneys in the preparation and review of materials provided to boards of trustees. Includes drafting memos, minutes and other written materials, reviewing materials submitted, as well as coordinating and managing the collection of information from areas within Janus Henderson in connection with matters that are reported to the board. Manages annual trustee and officer questionnaire process.
Manage information provided to outside vendors as needed.
Assist attorneys in coordinating and responding to document production requests for internal audit, regulatory, or other Fund-related research.
Prepare and review complex registration statements and ongoing updates for DST and CST as well as other regulatory filings and legal work related to the U.S. domiciled Trusts. Performs legal disclosure work related to creation and maintenance of new and existing funds.
Collect and coordinate data and comments necessary for such regulatory updates.
Coordinate typesetting/editing/printing of documents with internal/external clients and vendors.
Prepare regulatory filing packages for submission to the SEC.
Maintain regulatory files.
Review and coordinate internal and external comments in relation to various regulatory filings, including but not limited to shareholder reports, proxy statements, N-SAR, N-PORT, N-CEN, N-PX, and 24F-2 filings.
Coordinate internal distribution of filings and associated documents.
Perform occasional legal research.
Interact with senior management with a high level of professionalism and customer service.
Perform routine legal support activities, including word-processing, preparing basic contracts, presentations, correspondence and other legal documents, and communicating with internal and external clients.
Carry out additional duties as assigned
Technical Skills and Qualifications
Knowledge and understanding of Securities and Exchange Commission Forms, primarily N-1A and N-CSR
Excellent interpersonal and customer service skills
Excellent verbal and written communication skills
Advanced analytical and research skills
Excellent organizational skills with the ability to prioritize and manage multiple tasks simultaneously
Excellent attention to detail and accuracy
Ability to follow complex instructions and processes
Ability to work with little supervision
Ability to maintain confidentiality
Excellent negotiation and problem-solving skills
Advanced computer skills, including Microsoft Word, and Excel.
Five years’ experience as a paralegal required
Experience in mutual fund/financial services industry required
Experience in mutual fund disclosure required
Experience working with a mutual fund or corporate board preferred
Bachelor’s degree or equivalent required
Paralegal certification required
Some formal training in negotiation techniques preferred
Working Environment/ Physical Activities (U.S. Only)
Overtime may be required on short notice and may include weekend/evening/holiday hours
General office equipment such as PC, telephone, fax machine, copier, etc.
PC usage up to 100% of the time
Standing, bending, twisting, handling files; compiling record boxes for regulatory file retention purposes
Ongoing competence in the role to be assessed by:
Annual Performance Appraisal
Completion of all assigned Compliance training
Annual Attestation (Knowledge and Competence in-scope roles only)
For those in scope of Knowledge & Competence (MiFID II)
Knowledge of financial markets, financial markets function and the impact of economic figures and national/regional/global events on markets
Understanding of issues relating to market abuse and anti-money laundering
At a minimum the role will require you to:
Place the interest of Janus Henderson’s Clients first and always 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 you would like further explanation or direction regarding this
Understand and abide by all Janus Henderson policies applicable to your role, and ask for the support/guidance of the policy owner if you are unsure at any time
You are ultimately accountable for your actions and responsible for seeking further information on any or all of the above as necessary.
Janus Henderson Investors (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 Investors at its sole discretion).
All applicants must be willing to comply with the provisions of Janus Henderson Investors' 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 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. All applications are subject to background checks.