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Corporate Compliance Analyst

City:  London
Division:  Risk & Compliance (ex Lux)

 

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

  • Monitor EMEA new employees and contractors to ensure effective onboarding, completion of new joiner attestations and assisting orientation.
  • Run daily MCO processes to mitigate risk of Conflicts of Interest, Market Abuse and Insider Trading (Personal Code of Ethics oversight).
  • Coordinate administration of PAD policy, including broker feeds, timely identification of alerts, investigation, and communication of resolved items and breach issues.
  • Coordinate with manager effective annual disclosure and attestation process.
  • Respond to employee inquiries via compliance inbox, phone & Teams.
  • Monitor PAD transactions including reviewing preclearance requests and identifying policy violations.
  • Effective recordkeeping including prompt documentation of breaches, exceptions, and accurate entry of PAD data.
  • Reconciliation of employee holdings and transactions, applying ad-hoc reviews for PAD, G&E, OBAs and COI.
  • Develop skills to become a subject matter expert for the MyComplianceOffice system and raise appropriate queries with MCO helpdesk.
  • Support initiatives overlapping PCOE rules and ‘personal compliance’ regulations such as MIFID II, SMCR and Consumer Duty.
  • Liaison with Investment Compliance on embargo list restrictions, open orders and blackout period exceptions.
  • Liaison with Share Plan team and Legal concerning JHG Share Trading rules.
  • Research of regulatory rules and market practice specific to Code of Ethics requirements, ensuring staff accountability and ethical conduct.
  • Maintenance and review of periodic MI for EMEA Compliance oversight.
  • Ability to manage staff queries and breaches with confidentiality and sensitivity.
  • Support Senior Compliance Manager with roll-out of Personal Compliance training, and MI requirements for Board and Committee reporting.
  • Carry out additional duties as assigned.

 

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 ClassPass
  • 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
  • All employee events including networking opportunities and social activities
  • Lunch allowance for use within our subsidized onsite canteen

 

Must have skills

 

  • Understanding of the asset management business (front, middle, back office)
  • The ability to deal with colleagues at all levels of the organization and be able to influence decision making
  • A background in Compliance or Operations
  • Familiarity with global regulations which have people impacts
  • Collaborative skills to work with manager and global colleagues
  • Strong attention to detail
  • Excellent communication skills, stakeholder management and presentation skills.

 

Nice to have skills

 

  • Understanding of and experience in EMEA regulatory developments, both the process of regulation and the application of regulation to the business;
  • MyComplianceOffice, Charles River, Aladdin and Employee Central experience is preferred however not essential, suitable experience within employee compliance monitoring space is beneficial;
  • Candidates with other systems experience such as Star Compliance, PTA or equivalent systems will be considered;
  • Technical expertise in the key regulatory issues and rule areas impacting Personal Trading, G&E, OBAs and Conflicts, including but not limited to FCA COBS, MIFID II, COCON, SMCR, SEC and FINRA rules;
  • Experience of systems and controls, dealing functions and daily contact with staff on employee compliance aspects;
  • The candidate will ideally have relevant experience and product knowledge of pooled vehicles, equities, derivatives and commodities;
  • The IMC or CISI IAQ/IOC qualifications are desirable although not essential.
  • Self-motivation and ability to run with allocated tasks with focus on timely delivery.

 

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 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-LD1 #LI-Hybrid #LI-SH1 

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.

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