Janus Henderson Investors Regulatory Reporting Associate 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: Regulatory Reporting Associate
Department: Investment Operations
Reporting Line: Steve Loizou
Revised Date: September 2018
Title: Regulatory Reporting Associate
Overview of the Role
The Regulatory Reporting function has recently been aligned to Investment Operations with a view to creating a centralised, dedicated team that will be responsible for all non-financial regular, periodic reporting to multiple regulators and/or authorised bodies on which our regulators have some reliance (e.g. Exchanges and Trade Repositories). The team currently have responsibility for the following regulations: MiFID II transaction and post trade reporting, ASIC, Dodd Frank, EMIR, AIFMD, Solvency II, GroMiKV, Form PF, Form PQR, COVIP and VAG reporting.
In addition to current reporting obligations, the team will assume responsibility for several other regulations during 2019 as our regulatory reporting is restructured and rationalised globally as well as new regulations such as SFTR.
Reporting to the Head of UK Investment Operations, this role requires an experienced individual to work on the majority of these regulations and cross-training within the team will be provided with the aim of building subject matter expertise across the team in a variety of regulatory obligations.
As the financial industry continues to increase its focus on the regulatory landscape, this position within a centralised team of Regulatory specialists, provides an exciting opportunity to join a high-profile area of Operations, with exposure to numerous areas of the organisation across multiple jurisdictions.
Duties and Responsibilities
Review and analyse regulatory text and associated guidance in conjunction with Legal and Compliance teams; create/maintain interpretation documentation; contribute to business requirements as necessary
Represent the firm at relevant Industry forums and peer groups to ensure the firm is aware of vendor tools, market challenges and proposed approaches/solutions
Establish effective working relationships with Compliance, Legal, Technology, other Operations teams in addition to relevant vendor contacts and peers
Work closely with the relevant change management project team(s), assuming the role of Operations SME, participating as necessary in analysis and testing
Help develop the optimum model for the effective processing of reports, establishing best practices and a robust control framework; creation and maintenance of relevant procedures
Ownership for the resolution of exceptions and involvement in the production of MI, Data Quality, third party relationship management, escalation of issues, ensuring timely and accurate compliance with the regulation
Cross-train on regulatory reporting within the team, with a view to identifying areas of improvement or synergy and opportunities for scale and efficiency in addition to being able to fully support and own the relevant processes
Develop comprehensive knowledge of our internal processes and supporting business applications, working with the team to achieve a consistent operating model wherever possible
Drive remediation efforts relating to any issues identified across the suite of reports owned by the team, prioritising as necessary, and help to educate others on the importance of breach management
Involvement in ongoing change management as it relates to regulation, upstream system changes and new business initiatives, helping to evaluate impact for the team and ensure our data quality and processes are not compromisedTechnical Skills and Qualifications
Experience of any of the regulations mentioned above is preferred, but not essential. Training on the relevant regulatory requirements can be provided for exceptional candidates with an interest in Regulatory reporting, who can demonstrate excellent performance in their current and previous roles.
Experience in the review and interpretation of regulatory text or control function.
Degree plus other relevant industry qualificationsCompetencies Required
Strong problem-solving skills, able to identify risk and mitigate accordingly.
Strong communication skills and ability to explain complexities in a comprehensive manner. Ability to build and maintain strong inter-departmental relationships.
Proactive approach in the absence of clear or defined requirements
Excellent team-player with a “can-do” and flexible attitude, willing to support a cross section of team functions in a changing environment
Organisation and project management skills
Excellent attention to detail and ability to work to strict deadlines
Ongoing competence in the role o 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.