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Janus Henderson Investors Compliance Associate in London, United Kingdom

This position will be posted for a minimum of five calendar days internally. All internal applicants are required to inform your current supervisor/manager prior to applying. Internal applicants are required to be in "good standing" in your current role, which is defined as a performance rating of Good Performance or higher. You cannot be on a current performance improvement plan or written warning for any reason and must have been in your current role for a minimum of 6 months, unless otherwise approved for an early transfer by your current leader and Human Resources.

Overview of the role

The primary purpose of this job is to provide support to the Distribution Compliance Manager, and Head of Distribution Compliance as required, in respect of all JHG distribution related activities, as they provide stakeholder guidance and support for the range of regulated collective investment schemes managed by JHG such as Open-Ended Investment Companies or Investment Trusts.

Stakeholders will include internal departments linked to the operation of the collective investment schemes and external third-party administration companies providing fund pricing and registration services and fund depositaries in their oversight roles.

This role will require interaction with stakeholders and the review and production of data for reporting purposes, but this will be with full support and training as required from the Distribution Compliance Manager. Likely subjects are shown within Duties and Responsibilities.

Duties and responsibilities

The role will include but is not limited to the following subjects:

  • Trustee & Third-Party Administrators

  • Regulatory Reporting

  • Production of MI

  • Breach management oversight and root cause analysis

  • Customer Interests initiatives including TCF and Conduct Risk

  • Complaint resolution oversight and root cause analysis

  • Gifts & Entertainment/Inducements

    Other subjects as deemed by the Compliance Manager and Head of Distribution Compliance.

    The jobholder must possess a high degree of enthusiasm and professionalism and be proactive in escalating issues.

    Technical skills and qualifications

    A level of relevant industry experience gained from working at an asset manager or third-party administrator or depositary.

    Competencies required

  • Strong communication skills

  • Strong attention to detail

  • Organised with the ability to work on multiple projects

  • Able to work in a deadline driven environment

  • Team worker

  • Self-motivated

    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 (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.

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