Corporate Compliance Analyst

Opportunity to 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
• Technical expertise in 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: 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.

Equal Opportunity Employer: Janus Henderson Investors is an equal opportunity 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.

Annual Bonus Opportunity: Position may be 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.