Janus Henderson Investors Compliance Monitoring Specialist 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: Compliance Monitoring Specialist
Reporting Line: Head of European Guideline Monitoring
The Compliance team in the UK encompasses approximately 30 employees who oversee all of the Janus Henderson business activities in the UK, Europe, Latin America, Middle East and Africa.
The mission of the Compliance Department is to promote and encourage adherence to the regulatory obligations and rules to which management and staff are subject. The aim is to assist the group in developing a culture where its business is conducted within both the letter and spirit of the applicable laws and regulations in the interests of our customers and to minimise the risk of reputational damage or regulatory sanction. In achieving these objectives we will manage relationships with our regulators, provide advice and guidance to our business partners, monitor the activities performed by the group and provide training when required.
The department is separated into distinct areas: Distribution Compliance; Investment Management Compliance, Monitoring, Core Compliance, Regulatory Developments and Financial Crime, all of which report directly to Head of Compliance.
Overview of the Role
An opportunity has arisen for a Investment Guideline Monitoring specialist to join the Investment Guideline Team. This is a highly visible role within the firm and offers the successful candidate substantial breadth of experience within a dynamic environment.
The firm is keen to onboard a candidate with experience of UCITS investment guidelines.
The objective of the Investment Guideline team is as follows:
Oversight and support to all fund management desks and the central dealing function in respect of investment guideline related matters
Investment guideline monitoring of pre and post trade alerts
Support investigation of any UCITS breaches
Support with training on UCITS guideline requirements
Working with client services teams to prepare for account on-boarding and closing
Represent compliance interests in business projects and working groups;
Provide advice and guidance to the business on regulated fund and segregated mandate guidelines;
Investigate, prepare and generate market disclosures for threshold crossings.
Duties and Responsibilities
Timely identification, investigation and communication of investment guidelines related issues.
Investment guideline monitoring of Charles River pre, post and batch trade alerts and warnings.
Research breaches to determine whether they are passive or active and consequently advise on associated actions.
Clear communication with dealers, fund managers, client account managers, and operational risk on breach related matters.
Ability to interpret investment guidelines within fund documentation (operational, client specific, regulatory).
Ownership and maintenance of the Embargoed Restricted Securities List.
The jobholder must possess a high degree of credibility and should be someone who is keen to work with a team in a high paced environment.
European Head of Investment Restrictions
Client Account Managers
Data Management and Operations Control Teams
Internal Audit and Operational Risk Teams
Technical Skills and Qualifications
The IMC or IAQ qualification is desirable although not essential.
Systems: Charles River experience is preferred however not essential, suitable experience within the pre/post trade monitoring space is beneficial. Candidates with other system experience such as Sentinel, ThinkFolio, MIG, Aladdin or TRAC will be considered.
Technical expertise: knowledge and experience of UCITS investment guidelines will be important.
Ideally experience across a range of product and instrument types.
Teamwork: the ability to work in multiple teams and leverage internal and external networks.
Communication: ability to communicate clearly and with confidence (verbally and in writing) with team members and key business representatives i.e. fund managers, dealers etc.
Problem solving: ensuring complex regulation and its impact are communicated effectively ensuring practical and efficient advice if provided.
Industry experience: significant experience of guideline management compliance, as well as threshold disclosure knowledge; including significant experience with fund management and dealing functions. Ideally with some relevant experience of hedge funds, derivatives and commodities.
Good planning, organizational and prioritisation skills are essential.
Ability to work effectively under pressure and meet tight deadlines.
Ongoing competence in the role to be assessed by:
Annual Performance Appraisal
Completion of all assigned Compliance trainingCompliance RequirementsAt a minimum the role requires the individual to:
Place the interest of Janus Henderson’s Clients first and always act in accordance with TCF (Treating Customers Fairly) principles
Understand and comply with any federal, state, and foreign laws and regulations applicable for the role, and seeking the guidance of Compliance if this is unclear at any time
Understand and comply with all relevant Janus Henderson policies applicable for the role, and seeking the guidance of the relevant policy owner if this is unclear at any time.The individual in the role is ultimately accountable for his/her own actions and is 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.