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Janus Henderson Investors Analyst/Senior Analyst, Trade Surveillance in London, United Kingdom

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.

Corporate Title:Senior Analyst, Trade Surveillance


Reporting Line:Head of Trade Surveillance


Regulated Role:No

In-scope of Knowledge & Competence (MiFID II):No

The Company

Janus Henderson Investors is a leading independent global asset manager, dedicated to delivering the best outcomes for clients through a highly diversified range of actively-managed products.

We support our individual and institutional investors across a range of products, encompassing equities, fixed income, multi-asset and alternatives.

We are a team of independent and creative thinkers who work tirelessly to help our clients achieve their goals – and we do it by supporting a high-energy and collaborative culture that ensures our people love the place they work.

Janus Henderson is a truly global manager with US$359.8bn1of assets under management. We have a diverse geographic footprint, employing over 2,000 staff in 28 office locations globally. Headquartered in London, we are dual-listed on the New York Stock Exchange and the Australian Securities Exchange.

1 Janus Henderson pro-forma AUM as at 31 July 2019

The Department

The Compliance division forms part of the wider Risk team within the Risk & Compliance function, which reports directly to the Chief Risk Officer (CRO). The compliance team in London has approximately 40 members, with a variety of qualifications and experience, servicing not only the UK, but also Continental Europe, North America and Asia Pacific. The role is based in London but will have global reporting requirements.

Overview of the Role

An opportunity has arisen for an experienced Compliance professional to join the Surveillance Team to support and contribute to the development of the trade surveillance function which is primarily focused on market abuse risk.

This is a great opportunity for someone with relevant monitoring experience to take on a challenging role within a growing area. The surveillance process requires good quantitative skills as it includes the analysis of trade sequences for conduct inconsistent with regulatory rules, partnering with product compliance to resolve questionable trading patterns, and periodic monitoring of surveillance output to ensure optimal monitoring quality.

The role combines elements of both “business as usual” and project development.

Duties and Responsibilities

  • Responsible for running a daily compliance process and performing targeted analysis on the trading activity undertaken by the front office

  • Responsible for articulating key findings to senior business stakeholders

  • Responsible for raising any issues to the Head of Investment compliance

  • Liaise with Enterprise Risk on breach management

  • Develop, manage and maintain excellent and insightful reporting packs for all appropriate internal and external stakeholder groups as required

  • Assisting with trade surveillance ad-hoc reports when required. Providing support across all department areas and participate in special projects and regulatory requests

  • Support the Trade Surveillance Team to discharge their responsibilities and cover in their absence

  • Liaise with IT in respect of required development and testing of third party system solutions

  • Carry out additional duties as assigned

Supervisory Responsibilities

  • None

Technical Skills and Qualifications

  • Trade Surveillance /monitoring related experience within an Asset Management Firm

  • Degree educated

  • Investment management experience

  • Strong spreadsheet and analytical skills

  • Regulatory reporting experience

  • Be organized, disciplined and detail oriented.

  • Previous experience performing periodic testing.

  • Understanding of Market Abuse Regulations and the assessment of the varying levels of regulatory risk associated with different investment strategies.

Competencies Required

  • Excellent communication skills (verbal and written) and ability to communicate at all levels

  • Strong relationship building attributes enabling positive lasting relationships to be developed with all levels of the business

  • Professional credibility gained through relevant risk experience

  • The strength of character to be able to present risk management and compliance issues firmly to senior management and deliver appropriate challenge when necessary

  • Highly motivated and resilient – able to deal with pressurised situations, focusing on the task in hand and objective solutions

  • The ability to act independently and influence a variety of people, including senior management, in order to achieve their objectives

  • Experience utilising Bloomberg and/or Thompson Reuters

  • Strong attention to detail

  • Results orientated with high commitment to quality and delivery

  • Ability to build relationships within the Compliance Department, the wider business, and auditors and regulators

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

Compliance Requirements

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.