Senior Compliance Analyst -Private/Hedge Funds

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
 

We are seeking a Compliance professional to support Private Funds as a member of the North America Distribution Compliance Team. The ideal candidate will be familiar with private fund offerings and structures and will be able to operate effectively in a complex and fast paced environment. You will be the point person within Compliance for the product development and distribution of private funds distributed by the firm’s Broker-Dealer.

As the business grows and the regulatory landscape evolves, so too will this role. In this role you will:

• Provide Compliance support for product development and distribution efforts for private funds
• Review selling agreements, fund offering materials, investor qualifications, subscription agreements, and advertising materials for private funds
• Develop and deliver training to the Sales organization regarding promotional activities of Private/Hedge Funds
• Support the Advertising Review teams on materials related to Private/Hedge Funds
• Collaborate with internal partners and be exceptional at developing and nurturing professional relationships with team members and internal business partners
• Work with the Financial Crime Team to conduct Anti-Money Laundering (AML) reviews of clients as part of the KYC program related to Private/Hedge Funds
• Oversee various surveillance, monitoring, and compliance controls
• Manage and update policies and procedures and monitor information barriers
• Provide compliance-related guidance and support to Sales personnel and business partners
• Investigate compliance issues as they arise. Escalate issues as appropriate
• Provide timely, creative, clear, and thoughtful guidance to other departments and team members on compliance matters for sales teams
• Be able to operate within a risk-based model
• Be skillful at identifying and proactively resolving issues
• Keep 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
• Assist with regulatory examinations, audits, and inquiries
• Proactively pursue professional development activities
• Carry out additional duties as assigned

Supervisory responsibilities

• No

Must have skills and qualifications

• 3-5+ years of experience in Compliance or regulatory roles within asset management, broker-dealers, or financial services.
• Basic understanding of Private fund administration.
• Private/ Hedge fund knowledge and experience is preferred.
• FINRA SIE, Series 7 and 24 registrations required or obtained within 6 months of hire.
• Proven ability to manage internal client relationships and projects.
• Bachelor's degree or equivalent required.
• Intermediate to advanced computer skills, including electronic workflow systems, Microsoft Word and Excel.
• Excellent interpersonal, written and verbal communication skills.

Potential for growth

• Mentoring
• Leadership development programs
• Regular training
• Career development services
• Continuing education courses

What to expect when you join our firm

• Hybrid working and reasonable accommodations.
• 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

Compensation information

The base salary range for this position is $75,000-90,000. This range is estimated for this role. Actual pay may be different. This role will remain open through the end of May, 2025.

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 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 working 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.

#LI-MM1 #LI-Hybrid

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 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.

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.