Investment Compliance Advisory Analyst
Janus Henderson Investors is committed to helping clients achieve superior financial outcomes through disciplined investments and world-class service. The Investment Compliance Advisory Analyst will assist the Investment Compliance Advisory Team by developing compliance policies, coordinating due diligence, tracking compliance training, and supporting regulatory examinations.
Responsibilities
- Assist the Investment Compliance Advisory Team across a number of key tasks to support the Janus Henderson control environment and Investment Teams
- Contribute to the development, review, and enhancement of compliance policies and procedures
- Coordinate and maintain Advisory-related due diligence and RFP content
- Coordinate, track and participate in compliance training initiatives for investment and business teams
- Perform periodic trade testing
- Support the firm’s policies and controls related to material nonpublic information (MNPI) including wall crossings and maintenance of the restricted and watch lists
- Assist with regulatory examinations and internal audits by preparing documentation and responding to information requests, as needed
- Partner with teams across the business to enhance compliance systems, automation, and reporting capabilities
- Contribute to reporting dashboards, and data-driven enhancements
- Carry out additional duties as assigned
Skills
- Relevant experience in compliance or the asset management industry
- Foundational knowledge of asset management, compliance processes, instruments, products and funds
- Strong analytical skills, attention to detail and ability to exercise balanced judgment and decision making
- Pro-active and self-sufficient with ability to escalate where appropriate
- Strong written and verbal communication skills, with the ability to communicate effectively at all levels, influence and build relationships, and manage client expectations and competing priorities
- Natural curiosity and a willingness to enhance technical knowledge
- General proficiency with office systems e.g. Excel, Word, Outlook
- Bachelor's degree in Finance, Economics, Accounting, Business, or related field
- Experience with trading and compliance systems
- Experience in investment compliance within a U.S.-registered investment adviser or asset management firm
- Strong knowledge of U.S. securities laws and regulations, including the Investment Advisers Act of 1940 and Investment Company Act of 1940
Benefits
- Generous Holiday policies
- 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
- Complimentary subscription to Headspace – the mindfulness app
- Corporate membership to ClassPass and other health and well-being benefits
- Unique employee events and programs including a 14er challenge
- Complimentary beverages, snacks and all employee Happy Hours
- Annual Bonus Opportunity: Position may be eligible to receive an annual discretionary bonus award from the profit pool.
- Competitive compensation, pension/retirement plans, and various health, wellbeing and lifestyle benefits.
Company Overview
Company H1B Sponsorship