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Janus Henderson Investors Interim Conflicts of Interest Director 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:Interim Conflicts of Interest Director

Department:Enterprise Risk

Reporting Line:Head of Enterprise Risk

Location:London

The Department

Enterprise Risk forms part of the Risk & Compliance function, which reports directly to the Chief Risk Officer (CRO). Enterprise Risk works with the business to support and challenge them in the management of strategic, IT, financial and operational risks. The team is a global team located in London, Denver and Singapore and is structured into underlying specialist teams with discreet functions collaborating closely together.

Overview of the Role

The Conflicts of Interest Director role is responsible for ensuring Janus Henderson has processes in place to meet regulatory expectations and standards in respect of the management of Conflicts and Conduct across the firm, but with a focus on EMEA.

The role holder is responsible for establishing and maintaining the conflicts of interest frameworks, the processes for effective oversight and monitoring of conflicts of interest activities, and relevant metrics/reporting. This role will act as the lead for the Conflicts of Interest programme in EMEA. This person will work closely with the owner of the Conflicts of Interest programme in the US.

We are initially looking to hire an individual on an interim basis, however, there is potential this role could become a permanent requirement.

Duties and Responsibilities

A key function of the role is to ensure we have adequate processes and procedures for the identification, monitoring, measuring, reporting and mitigation of Conflicts of Interest. This includes but is not limited to:

  • Risk Assessment & Monitoring: responsible for advising on, and overseeing standards and methodologies with respect to conduct risk identification and assessment

  • Conflicts Oversight; responsible for establishing, implementing and maintaining a Conflicts programme across EMEA, in line with UK regulatory expectations and work with the business functions to ensure this programme is appropriately embedded

  • Work with Compliance Monitoring in respect of conduct testing/ monitoring/ surveillance

  • Develop Conflict of Interest risk training and communication

  • Work with HR to positively influence and assess Conduct, through interview processes, performance management, exit interviews etc.

  • Work with the Regulatory Developments and Enterprise Risk teams to enhance horizon scanning for Conduct risk issues

  • Prepare reporting for relevant committees, Corporate Entity Boards and the HGHAML (and JHG) Boards on conduct risk and conflicts of interest, and present at those meetings where required

  • Prepare on going MI in relation to Conflicts of Interest

  • Work with the Head of Enterprise Risk and the Chief Risk Officer in addressing any issues arising from Conduct risk

  • Complaints Oversight, responsible for establishing, implementing, and maintaining a programme and policy to analyze, report, and review the front-line complaints functions

  • Defining Conduct Risk Appetite Statement and develop key risk metrics in partnership with the business

  • Working alongside Legal, HR and Management ensure processes in relation to employee conduct are addressed effectively (including where appropriate links to remuneration). Provide reporting and metrics to the Remuneration Review Committee as appropriate

  • Working closely with Compliance to review processes which support Conduct risk – e.g. Product Governance

  • Carry out additional duties as assigned

Supervisory Responsibilities

  • None

Technical Skills and Qualifications

  • Strong understanding of FCA, PRA / European Conduct and Conflicts of Interest regulatory requirements

  • Exposure to US / Pan Asia Conflict regulatory requirements useful

  • Good understanding of the Asset Management environment

  • Proven track record of having designed, implemented and run Conduct and Conflict of Interest frameworks

  • Strong relationship management skills with the ability to challenge constructively as well as influence key stakeholders

  • Good verbal communication skills alongside the ability to collect, analyze, and synthesize information on various subjects to make it digestible for business and boards

  • Demonstrate the ability to identify key issues, and obtain appropriate information for further analysis

Competencies Required

  • Fluency in English (written and verbal); any other languages would be considered as an asset

  • Strong Excel, Word, PowerPoint skillsand other reporting tools but also able to understand use of technology for improving the regulatory control environment

  • Highly developed communication and influencing skills- excellent interpersonal, communication (written and oral) skills are essential

  • Teamwork skills – the candidate must be flexible in his/her work style and be able to work collaboratively with stakeholders and colleagues at all levels

  • Ability to work with cross functional teams and be seen as a trusted advisor

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)

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.

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