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Janus Henderson Investors Sr. Compliance Manager - ETP Specialist 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.

Our culture is the foundation for how we interact with clients and one another as part of our unique, people-focused work environment. We support a flexible hybrid working model that allows teams to build a strong and positive culture by inspiring innovation and increasing collaboration. Currently our hybrid working model allows employees to work 2 or more days in office and the remaining time remotely.

Employees and Managers will discuss and determine what schedule works best for them and the team, with additional flexibility available based on the role, business needs, and individual circumstances.

JHI Workplace Practices is subject to change as the future of work within our organization evolves.

The department

The Risk and Compliance function (“R&C”) forms the second line of defence in the firm’s global risk management framework and champions a culture of risk and compliance throughout the organisation. The function effectively partners with the business to ensure that everyone complies with our external regulatory requirements and expectations, and internal policies and procedures so we can deliver for our clients.

R&C works to keep the firm abreast of all regulatory obligations, changes and developments within a rapidly changing regulatory landscape, as well being a trusted adviser on financial, operational and regulatory risks and the controls that are in place to mitigate against these.

Overview of the role

We are seeking a highly motivated professional to join our Compliance team supporting the growing ETF business. This individual will partner with various business areas focusing on risks and day-to-day processes associated with our exchange traded product (ETP) business.

The successful candidate will:

  • Use their leadership experience, understanding of the regulations, and relationship building capabilities to provide timely regulatory compliance advice and creative mentorship on Exchange Traded Products (“ETP”).

  • Have a strong working knowledge of ETPs (ETFs, ETNs, indices, both proprietary and third- party, etc.).

  • Collaborate with the ETP team on product development and marketing. Offer compliance mentorship for the design and rollout of new products and product changes.

  • Partner with the global R&C teams.

  • Provide oversight and challenge relating the ETP business. Advise on compliance policies.

  • Keep abreast of regulatory change and help develop and update policies and procedures relating to ETPs.

    Duties and responsibilities

    You will:

  • Advise on ETP and Index website content, data and related disclosures.

  • Advocate for and help design technology initiatives supporting automation, accuracy and efficiency in ETP oversight.

  • Collaborate closely with the ETF distributor on compliance related issues.

  • Serve as an escalation point for ETP team violations and issues with errors or risk of regulatory action.

  • Represent compliance on forums/committees relating to the ETP business (ETF Basket Forum, Index Committee).

  • Serve as a Compliance subject-matter expert (SME) for the ETP team.

  • Provide compliance reports on various regulatory matters (e.g., Section 15c, 17a, Rules 6c-11, 17a-7, 17e-1, 38a-1 etc.), updates to senior management and certs to Fund Board.

  • Assist with research and remediation for regulatory and internal audits.

  • Carry out additional duties as assigned.

    Technical skills and qualifications

  • Bachelor's degree or equivalent required.

  • FINRA Series 7 and 24 licenses desirable.

  • Minimum 10 years of financial industry experience with significant emphasis on exchange traded products (ETFs, ETNs, indices, etc.). Focus on ETP Compliance preferred along with solid knowledge of capital markets and the create/redeem process.

  • Proven in-depth knowledge and understanding of applicable SEC, exchange listing, CFTC and FINRA regulations for exchange traded products.

  • Intermediate to advanced computer skills, including Microsoft Word and Excel.

    Competencies required

    In addition to putting clients first, acting like an owner, and succeeding as a team, the competencies for this role include:

  • Ability to collaborate with global colleagues with a solutions-oriented mindset.

  • Technologically savvy to address automation and efficiency initiatives.

  • Excellent interpersonal, written and verbal communication skills.

  • Proven leader in influencing other departments and teams to support the development and/or execution of Compliance initiatives.

    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 requirements

    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.

    Compensation Information

    The base salary range for this position is $125,000 - $140,000. This range is estimated for this role. Actual pay may be different.

    #LI-SS1, #LI-Hybrid

    Annual Bonus Opportunity: Position is eligible to receive an annual discretionary bonus award from the profit pool. The profit pool is funded based on Company profits. Individual bonuses are determined based on Company, department, team and individual performance.

    Benefits: Janus Henderson is committed to offering a comprehensive total rewards package to eligible employees that includes; competitive compensation, pension/retirement plans, and various health, wellbeing and lifestyle benefits. To learn more about our offerings please visit the Why Join Us section on the career page here (https://www.janushenderson.com/careers/) .

    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).