Compliance Analyst

at  Janus Henderson

London, England, United Kingdom - 00000

Start DateExpiry DateSalaryPosted OnExperienceSkillsTelecommuteSponsor Visa
Immediate12 Apr, 2020Not Specified13 Jan, 2020N/APerformance Appraisal,Investment Management,Regulations,Compliance Training,Completion,Working Experience,Regulatory RequirementsNoNo
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Description:

Janus Henderson Global Investors is a leading independent global asset manager, dedicated to delivering the best outcomes for clients through a broad range of actively managed funds.
We provide our institutional, retail and high net-worth individuals with access to skilled investment professionals representing a broad range of asset classes including, equities, fixed income, multi asset and alternatives.
We are a team of independent thinkers who work tirelessly to help our clients achieve their goals – and we do it by fostering an energetic and collaborative culture that ensures our people love the place they work.
Headquartered in London, Janus Henderson is a truly global asset manager with a diverse geographic footprint, managing assets from 27 offices globally and employing more than 2,000 staff.
Role:
Compliance Analyst
Location:
London
Department:
Compliance
The department
The Compliance division forms part of the wider Risk team within the Risk & Compliance function, which reports directly to the Chief Risk Officer (CRO). The compliance team in London has approximately 40 members, with a variety of qualifications and experience, servicing not only the UK, but also Continental Europe, North America and Asia Pacific. The role is based in London but will involve regular interaction with Asia Pac and US teams.
Overview of the role
An opportunity has arisen for an Analyst to join Investment Guideline Compliance as a monitoring resource, for both investment restrictions and threshold disclosures. This is a highly visible role within the firm and offers the you substantial breadth of experience within a dynamic environment. You will need to build relationships with key stakeholders, including but not limited to heads of Investment Guideline Compliance and Investment Compliance, fund managers, dealers, client account managers and audit.

The objective of the Investment Guideline Compliance team is as follows:

  • Oversight and support to all fund management desks and the central dealing function in respect of investment guideline related matters;
  • Investigate, prepare and generate market disclosures for threshold crossings;
  • Investment guideline monitoring of pre and post trade alerts;
  • Working with client services teams to prepare for account on-boarding and closing;
  • Working with operational teams to address any challenges arising from exceptions;
  • Preparation of reporting documentation for review by senior management;
  • Represent compliance interests in business projects and working groups; and
  • Provide advice and guidance to the business on regulated fund and segregated mandate guidelines.

Duties and responsibilities

You will:

  • Carry out timely identification, investigation and communication of investment guidelines related issues.
  • Perform investment guideline monitoring of Charles River pre, post and batch trade alerts and warnings.
  • Research breaches to determine whether they are passive or active and consequently advise on associated actions.
  • Have clear communication with relevant stakeholders on breach related matters.
  • Interpret investment guidelines within fund documentation (operational, client specific, regulatory).
  • Generate threshold disclosures (Long, Short and Takeover) for the market.
  • Support the Head of EMEA Guideline Compliance with the preparation of business and committee reporting.
  • Carry out additional duties as assigned.

The jobholder must possess a high degree of credibility and should be someone who is keen to work with a team in a fast paced environment.

Supervisory responsibilities

  • No

Technical skills and qualifications

  • The IMC or IAQ qualification is desirable although not essential.
  • Previous experience in regulatory disclosures would be advantageous.
  • Charles River experience is preferred however not essential, suitable experience within the pre/post trade monitoring space is beneficial.
  • Working experience in the key regulatory issues and rule areas impacting JHI investment management.
  • Ideally experience across a range of product and instrument types including UCITS.
  • Knowledge of investment guidelines, as well as threshold disclosure reporting.

Competencies required

In addition to putting clients first, acting like an owner, and succeeding as a team, the competencies for this role include:

  • Teamwork: Ability to work in multiple teams and leverage internal and external networks.
  • Communication: Ability to communicate clearly and with confidence with team members and key business representatives.
  • Problem Solving: Ensuring complex regulation and its impact are communicated effectively.
  • Good planning, organizational and prioritisation skills are essential.
  • Ability to work effectively under pressure and meet tight deadlines.

Ongoing competence in the role to be assessed, in line with applicable regulatory requirements, by:

  • Annual performance appraisal
  • Completion of all assigned compliance training
  • Annual attestation (Knowledge and Competence in-scope roles only)Compliance requirementsAt a minimum the role will require you to:
  • Place the interest of Janus Henderson’s Clients first and always act in accordance with TCF (Treating Customers Fairly) principles
  • Understand and follow laws and regulations applicable for your role, seeking the help of your supervising manager or Compliance if you would like further explanation or direction regarding this
  • Understand and abide by all Janus Henderson policies applicable to your role, and ask for the support/guidance of the policy owner if you are unsure at any time
  • You are ultimately accountable for your actions and responsible for seeking further information on any or all of the above as necessary.

Janus Henderson Investors (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 Investors at its sole discretion).
All applicants must be willing to comply with the provisions of Janus Henderson Investors’ 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 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. All applications are subject to background checks

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Responsibilities:

In addition to putting clients first, acting like an owner, and succeeding as a team, the competencies for this role include:

  • Teamwork: Ability to work in multiple teams and leverage internal and external networks.
  • Communication: Ability to communicate clearly and with confidence with team members and key business representatives.
  • Problem Solving: Ensuring complex regulation and its impact are communicated effectively.
  • Good planning, organizational and prioritisation skills are essential.
  • Ability to work effectively under pressure and meet tight deadlines

Ongoing competence in the role to be assessed, in line with applicable regulatory requirements, by:

  • Annual performance appraisal
  • Completion of all assigned compliance training
  • Annual attestation (Knowledge and Competence in-scope roles only)Compliance requirementsAt a minimum the role will require you to:
  • Place the interest of Janus Henderson’s Clients first and always act in accordance with TCF (Treating Customers Fairly) principles
  • Understand and follow laws and regulations applicable for your role, seeking the help of your supervising manager or Compliance if you would like further explanation or direction regarding this
  • Understand and abide by all Janus Henderson policies applicable to your role, and ask for the support/guidance of the policy owner if you are unsure at any time
  • You are ultimately accountable for your actions and responsible for seeking further information on any or all of the above as necessary


REQUIREMENT SUMMARY

Min:N/AMax:5.0 year(s)

Financial Services

Accounts / Finance / Tax / CS / Audit

Finance

Graduate

Proficient

1

London, United Kingdom