Janus Henderson Investors Senior Analyst, Trade Surveillance in London, United Kingdom
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.
Senior Analyst, Trade Surveillance
Risk & Compliance
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 Senior Surveillance Analyst 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
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.
Develop, manage and maintain excellent and insightful reporting packs for all appropriate internal and external stakeholder groups as required.
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
Technical skills and qualifications
Trade Surveillance /monitoring related experience within an Asset Management Firm preferred
Degree educated or equivalent preferred
Investment management experience preferred
Be organized, periodic testing. disciplined and detail oriented.
Understanding of Market Abuse Regulations and the assessment of the varying levels of regulatory risk associated with different investment strategies.
Advanced spreadsheet skills (VLOOKUP, MACROs, PIVOTS etc.)
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 pressurised 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
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).