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Janus Henderson Investors Compliance Analyst in Denver, Colorado

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.

Overview of the role

  • Responsible for assisting with and performing a variety of activities in the Investment Compliance group to monitor compliance with federal and state regulatory requirements, operating policies, and fund/client-imposed investment limitations.

  • The role will provide daily support to Trading and Trade Operations staff with respect to funds and client account trading. Responsible for assisting in preparing and filing regulatory reports, board reports, and the completion of fund and client account analysis and reports following established procedures.

  • This position will work under the direct supervision of more senior level staff to resolve compliance issues in an efficient and timely manner.

Duties and responsibilities

You will:

  • Perform routine and/or moderately complex activities, with supervision, such as reviewing and interpreting client investment guidelines, fund disclosure, and using Charles River Investment System to systematically monitor trading activity

  • Review and prepare compliance reports to support on-going compliance monitoring and testing as well as to provide documentation and information to management

  • Develop relationships with internal clients and vendors as applicable

  • Identify and communicate potential compliance issues to management and recommend corrective action

  • Conduct basic research and prepare documentation for daily trade monitoring as well as ad-hoc requests

  • Work closely with Janus Legal department to ensure appropriate application of regulatory or client requirements

  • Carry out additional duties as assigned

Supervisory responsibilities

  • No

Technical skills and qualifications

  • Experience in the mutual fund or financial services industry, preferably in compliance analysis

  • Experience with Charles River Investment Management System is helpful

  • Bachelor’s degree or equivalent experience required; Finance, Economics or Accounting major preferred

Competencies required

In addition to putting clients first, acting like an owner, and succeeding as a team, the competencies for this role include:

  • Solid interpersonal and customer service skills

  • Working knowledge and understanding of applicable SEC, CFTC and FINRA rules and regulations

  • Basic understanding of securities industry, relevant regulatory requirements, investment limitations, and operating policies

  • Effective analytical skills, including the ability to accumulate, organize, and assimilate large amounts of information

  • Strong attention to detail and accuracy

  • Ability to manage multiple tasks simultaneously

  • Intermediate computer skills, including Microsoft Excel and Word

  • Strong verbal and written communication skills

Ongoing competence in the role to be assessed, in line with applicable regulatory requirements, by:

  • Annual performance appraisal

  • Completion of all assigned compliance training

Compliance requirements

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

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).

All applicants must be willing to comply with the provisions of Janus Henderson 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 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.