Compliance Analyst

Your opportunity

An opportunity has arisen for an Analyst (maternity Cover) to join the Guideline Oversight team as a monitoring resource on investment restrictions. This is a highly visible role within the firm and offers the successful candidate substantial breadth of experience within a dynamic environment.

Responsibilities

• Timely identification and investigation of investment guideline related issues.
• Investment guideline monitoring of pre, post and batch trade alerts and warnings.
• Research breaches to determine whether they are passive or active and advise on actions.
• Clear communication with relevant stakeholders on breach related matters.
• Ability to interpret investment guidelines within fund documentation (operational, client specific, regulatory).
• Support Senior Management with preparation of business and committee reporting.

Qualifications

• Systems: Prior user experience of Charles River or Aladdin is required.
• Technical: Prior knowledge in key regulatory issues and rule frameworks (UCITs, 40 Act, ERISA etc).
• Teamwork: Ability to work in multiple teams and leverage internal / external networks.
• Communication: Ability to communicate clearly (verbally and in writing) with team members and key business representatives i.e. fund managers, dealers etc.
• Problem Solving: Ensuring complex regulation and its impact are communicated effectively.
• Good planning, organisational and prioritisation skills are essential.
• Ability to work effectively under pressure and meet tight deadlines.

Nice to have skills

• The IMC or IAQ qualification is desirable although not essential.
• Minimum 12 months previous experience in Compliance, preferably investment related.
• Products: Ideally experienced across a range of product and instrument types.
• Industry Experience: Typically 1 to 2 years working experience at an Asset Manager or Investment Bank.

Supervisory responsibilities

No

Potential for growth

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

Benefits

• Hybrid working and reasonable accommodations
• Generous Holiday policies
• Excellent Health and Wellbeing benefits including corporate membership to Wellhub
• 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
• All employee events including networking opportunities and social activities
• Lunch allowance for use within our subsidised onsite canteen
• 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.

Regulatory and Ethical Obligations

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. 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.

Equal Opportunity Employer

Janus Henderson Investors is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, colour, religion, sex, sexual orientation, gender identity, national origin, disability or veteran status. All applications are subject to background checks.