Janus Henderson Investors Senior Analyst Investment Compliance, Pan Asia in United States
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.
Title: Senior Analyst Investment Compliance, Pan Asia
Location: Sydney or Singapore
Overview of the Role
The Risk and Compliance Analyst will be a member of the Pan Asian Risk and Compliance team working closely with the business teams to implement the Janus Henderson Group and Janus Henderson Risk and Compliance frameworks and embed a culture of risk management throughout the business based in either Sydney or Singapore office.
Duties and Responsibilities
Support the Investment Compliance Pan Asia team and work closely with the UK and US teams, providing oversight of funds management desks and the central dealing function within Pan Asia including pre & post trade monitoring on Charles River investment systems across all asset classes.
Provide timely investigation and resolution of guideline alerts.
Work closely with portfolio managers, client account managers and operations team on passive and active guideline breaches, remediation, mitigation and reporting
Conduct change management responsibilities including new setups and changes to existing involving interpretation, quantifying, coding, and testing across systems including Charles River.
Liaise with investment operations and data teams to address data and trade issues.
Work with IT and operations in respect of required development and enhancement of the investment compliance systems environment
Maintain the Embargoed Securities List
Conduct threshold monitoring and prepare filings
Provide support on MNPI – Material Non Public Information, Expert Network
Investigate and report Trade Surveillance exceptions
Assumes additional duties as assigned
Technical Skills and Qualifications
Commerce/Business Finance degree
Over 5 years of solid experience in investment compliance within financial services sector
Solid understanding of Charles River experience is preferred
Advanced Excel skills
Excellent understanding of the Funds Management industry
Good knowledge of ETD and OTC derivative instruments as well as other asset classes e.g. Equities, Fixed Interest, FX and ETF.
Good understanding of processes and controls. GS007 audit experience an advantage.
Some understanding of current and proposed regulatory requirements impacting the Funds Management industry an advantage
Analytical and problem solving skills
Good planning, organisational and prioritisation skills
Highly self-motivated, possessing strong written and verbal communication skills, with the ability to communicate effectively at all levels
Ability to work and perform independently as part of a regional team, including occasional coverage for Australian and Asian markets/time zones as required by the wider team
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.