Distribution Compliance Manager
Janus Henderson Investors
Independent global asset manager, actively-managed products
Denver, CO
Job Title: Distribution Compliance Manager
Requisition ID 25061 – Posted – US – Denver, CO – Janus Henderson
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.
The department
The Risk and Compliance functions include approximately 125 roles globally, the majority of which are in the London headquarters and the Denver office.
Overview of the role
The Compliance Manager joins a team responsible for ensuring communications with our clients, shareholders, and prospective investors are aligned with regulations and acts as a trusted partner to the Distribution team. Responsible for collaborating with compliance and marketing teams globally, you will use your leadership experience, understanding of the regulations, project management skills, relationship building capabilities and tech-savvy ideas, to provide timely regulatory compliance advice and creative guidance to marketing, sales, business development, investments and others related to external communications about our products, services and highly recognizable brand. The Compliance Manager supports multiple aspects of our institutional business and has exposure to a wide array of products including exchange traded products, alternative strategies/hedge funds, mutual funds, separate accounts and composites in a range of disciplines (equity, fixed income, multi-asset and alternative).
Duties and responsibilities
You will:
Review advertising and marketing materials pursuant to FINRA and SEC Regulations and GIPS standards, focusing on institutional communicationsFocus on institutional strategies, including composites and alternative strategies, and associated thought leadership material
Additional responsibilities covering mutual funds and ETFs as assigned
Provide timely, creative, clear, and thoughtful mentorship to business partners and team members on advertising compliance matters for existing products and new product launches
Collaborate with internal partners and be exceptional at developing and nurturing professional relationships
Stay abreast of changing regulations that impact our business
Be a change agent in optimizing, implementing, and continuously evolving best-in-class review processes, policies, and procedures
Proactively pursue professional development activities
Show confidence in your understanding of applicable rules and willingness to expand that understanding as needed for the role
Carry out additional duties as assigned
Technical skills and qualifications
Bachelor’s degree or equivalent required
FINRA Series 7 and 24 registrations required
Eight years of experience in the financial services industry with a significant emphasis on compliance analysis of institutional/advisory advertising
Proven in-depth knowledge and understanding of applicable SEC and GIPS requirements for investment advisers; familiarity with CFTC and FINRA regulations for exchange traded products and mutual funds Experience applying FINRA advertising regulations to social media and public relations related communications
Intermediate to advanced computer skills, including social media software, electronic workflow systems, Microsoft Word and Excel
Competencies required
In addition to putting clients first, acting like an owner, and succeeding as a team, the competencies for this role include:
Be resourceful at identifying and proactively resolving issues, including offering solutions and alternatives within regulatory frameworks
Excellent interpersonal, written and verbal communication skills
Outstanding time management, organizational and follow-up skills to effectively plan and take tasks to completion within specified time frames
Ability to handle several tasks simultaneously, maintain focus and develop prioritization systems to provide outstanding service levels in a dynamic environment
Scrupulous attention to detail and accuracy
Ability to master technology-driven Ad Review system, manage automated workflows, and produce reports
Product knowledge: separately managed institutional accounts, composites, mutual funds, exchange traded products, hedge funds and other alternative products
Proven leader in influencing other departments and teams (i.e., sales, marketing, product management, public relations, etc.) to support the development and/or execution of Compliance initiatives
Compelling and effective at communicating, presenting, and building consensus on compliance issues across all levels within the organization
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 others in legal and 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
Compensation Information
The base salary range for this position is $90,000 – $100,000. This range is estimated for this role. Actual pay may be different.
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).
How to apply:
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