Compliance Analyst
Janus Henderson
Why work for us?
A career at Janus Henderson is more than a job, it’s about investing in a brighter future together.
Our Mission at Janus Henderson is to help clients define and achieve superior financial outcomes through differentiated insights, disciplined investments, and world-class service. We will do this by protecting and growing our core business, amplifying our strengths and diversifying where we have the right.
Our Values are key to driving our success, and are at the heart of everything we do:
Clients Come First - Always | Execution Supersedes Intention | Together We Win | Diversity Improves Results | Truth Builds Trust
If our mission, values, and purpose align with your own, we would love to hear from you!
Your opportunity
An opportunity has arisen for an Analyst (maternity Cover) to join Guideline Oversight team as a monitoring resource on investment restrictions. This is a highly visible role within the firm and offers the successful candidate substantial breadth of experience within a dynamic environment.
The Investment Guideline Compliance team provides oversight and support to all fund management desks and the central dealing function in respect of investment guideline related matters. Responsibilities include monitoring pre and post trade alerts, working with client services teams on account onboarding and closing, supporting operational teams on exception management, preparing reporting for senior management, and participating in business projects and working groups.
You will be responsible for:
- Timely identification and investigation of investment guideline related issues.
- Investment guideline monitoring of pre, post and batch trade alerts and warnings.
- Research breaches to determine whether they are passive or active and advise on actions.
- Clear communication with relevant stakeholders on breach related matters.
- Ability to interpret investment guidelines within fund documentation (operational, client specific, regulatory).
- Support Senior Management with preparation of business and committee reporting.
The jobholder must possess a high degree of credibility and should be keen to work with a team in a fast-paced environment.
What to expect when you join our firm
- Hybrid working and reasonable accommodations
- Generous Holiday policies
- Excellent Health and Wellbeing benefits including corporate membership to Wellhub
- Paid volunteer time to step away from your desk and into the community
- Support to grow through professional development courses, tuition/qualification reimbursement and more
- Maternal/paternal leave benefits and family services
- All employee events including networking opportunities and social activities
- Lunch allowance for use within our subsidized onsite canteen
Must have skills
- Systems: Prior user experience of Charles River or Aladdin is required.
- Technical: Prior knowledge in key regulatory issues and rule frameworks (UCITs, 40 Act, ERISA etc).
- Teamwork: Ability to work in multiple teams and leverage internal / external networks.
- Communication: Ability to communicate clearly (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.
- Good planning, organisational and prioritisation skills are essential.
- Ability to work effectively under pressure and meet tight deadlines
Nice to have skills
- The IMC or IAQ qualification is desirable although not essential.
- Minimum 12 months previous experience in Compliance, preferably investment related.
- Products: Ideally experienced across a range of product and instrument types.
- Industry Experience: Typically, 1 to 2 years working experience at an Asset Manager or Investment Bank.
Supervisory responsibilities
- No
Potential for growth
- Mentoring
- Leadership development programs
- Regular training
- Career development services
- Continuing education courses
You will be expected to understand the regulatory obligations of the firm and abide by the regulated entity requirements and JHI policies applicable for your role.
At Janus Henderson Investors we’re committed to an inclusive and supportive environment. We believe diversity improves results and we welcome applications from candidates from all backgrounds. Don’t worry if you don’t think you tick every box, we still want to hear from you! We understand everyone has different commitments and while we can’t accommodate every flexible work request, we’re happy to be asked about work flexibility and our hybrid working environment. If you need any reasonable accommodations during our recruitment process, please get in touch and let us know at recruiter@janushenderson.com.
Annual Bonus Opportunity: Position may be 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 Investors is an equal opportunity 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.
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).
You should be willing to adhere to the provisions of our 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.
You will be expected to understand the regulatory obligations of the firm, and abide by the regulated entity requirements and JHI policies applicable for your role.