Janus Capital Group Jobs

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.

Role:

Compliance Manager, Trade Surveillance

Location:

London

Department:

Risk & Compliance

The department

The Risk & Compliance Function, which comprises Investment Risk, Operational Risk, Credit Risk and Compliance, forms the second line of defence in Janus Henderson’s global risk management framework. The Risk and Compliance function monitor the financial, operational and regulatory risks in the business and the related controls in place to manage these risks. These functions provide independent oversight of the risk management performed by the first line businesses.

Overview of the role

We have an opportunity for a Surveillance Manager that’s ready to move onto the next stage of their compliance journey and join our global trade surveillance team.

The team have a varied routine, performing surveillance for all investments activities that Janus Henderson participates in regardless of the trading location or asset class. They utilize best in class surveillance platforms to highlight potential market manipulation, misconduct, insider trading and misuse of electronic communications. The team’s 2LOD oversight also covers a number of trade controls including Best Execution, Side by Side, allocations, cancellations etc., they also act as MNPI Gate Keepers.

Your ideas will help towards shaping and developing the strategic direction of the surveillance framework, you will be expected to take ownership of any improvements or new controls, whilst being fully supported by management and fellow team members.

The team works in collaboration with other groups within compliance and other functions, so your ability to build relationships with various stakeholders globally will be key.

With demonstrated experience from a similar role within an Asset Management Firm or Investment Banking, you will have experience using industry leading surveillance applications, including Nasdaq Trade Surveillance ‘Compass’ or 'SMARTs', TradingHub, NICE, Global Relay or similar surveillance platforms.

You will have a strong understanding of business processes, booking methodologies and fund strategies, along with a good knowledge of Compliance and Surveillance.

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

Duties and responsibilities

You will:

• Run a daily compliance process and perform targeted analysis on the trading activity undertaken by the front office.

• Raise any issues to the Global Head of Trade Surveillance on an ad-hoc basis.

• Provide updates to the wider investment management compliance management team as required.

• Ensure several daily trade surveillance tasks are completed on a timely basis.

• Liaise with Enterprise Risk on breach management issues that are identified.

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

• Support the Global Head of Trade Surveillance in the preparation of the periodic risk assessment process.

• Draft internal and external investigation summaries

• Assist with trade surveillance ad-hoc reports when required.

• Provide support across all department areas and participate in special projects.

• Identify enhancements to existing controls, test the integrity of system controls, validating test results and documenting all stages.

• Carry out additional duties as assigned

Supervisory responsibilities

• No direct reports – however you will help train and mentor junior team members

Technical skills and qualifications

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

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

• Regulatory reporting experience beneficial

• Degree educated or equivalent preferred

• Investment management experience preferred

• Advanced spreadsheet skills (VLOOKUP, MACROs, PIVOTS etc.)

Competencies required

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

• 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 pressurized 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 in using Nasdaq Trade Surveillance ‘Compass’ or 'SMARTs', TradingHub, NICE, Global Relay, Bloomberg and Thompson Reuters EIKON

• 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, 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.

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.

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).