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
In-scope of Knowledge & Competence (MiFID II):No
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 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
Technical Skills and Qualifications
Trade Surveillance /monitoring related experience within an Asset Management Firm
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.
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
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.