Distribution Compliance Manager (12mth FTC)

at  Janus Henderson

Must have skills

• Technical expertise in the key regulatory issues and rule areas impacting JHI Distribution, including but not limited to:
• Systems and Controls rules
• Conflicts of Interest
• Financial Promotions and Private Placement rules
• Inducement

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
In summary, the primary purpose of this role is to provide compliance advice, oversight and training in respect of all Janus Henderson Investors EMEA and LatAm distribution related activities, both retail and institutional. The main focus of this role will be related to German Speaking jurisdictions in Europe (Germany, Austria and Switzerland).

The role will represent compliance in distribution matters, including but not limited to the following:

• Product distribution activities including advice on cross-border activities in the EMEA and LatAm region
• Distribution Advisory Institutional
• Distributor and distribution channel due diligence
• RFP Interactions
• Customers interests
• Inducements
• Marketing

You must possess a high degree of credibility, be proactive in advising the business on regulatory matters and overseeing business adherence to both the letter and spirit of the applicable rules, regulations and principles.

You will:

• Support a Senior Compliance Manager and the Head of Product and Distribution Compliance in ensuring that the distribution business complies with all relevant rules and regulations. Special focus and coverage on German Speaking jurisdictions.
• Assist colleagues in providing cross-functional compliance coverage to ensure continuity of support to business areas.
• Be proactive in ensuring that the business receives relevant training on regulatory issues (including the application of compliance policies) which may have an impact on the business.
• Assist in embedding a culture of effective management of regulatory risk within the business.
• Keep abreast of new regulatory developments and rules, assess their impact on Janus Henderson Investors and assist in ensuring appropriate action is taken; special focus and coverage on German Speaking jurisdictions.
• Assist in ensuring that the Distribution business areas champion and embed a culture of treating customers fairly and client centricity in a client-led and client focused business.
• Assist with the review and update of policies and procedures as required in order to meet the needs of Janus Henderson Investors distribution teams and continued regulatory compliance.
• Review Financial Promotions to ensure compliance with laws and regulations in the EMEA, USO and LatAm region. Special focus and coverage on German Speaking jurisdictions.
• 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
• All-inclusive approach to Diversity, Equity and Inclusion
• 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

• Technical expertise in the key regulatory issues and rule areas impacting JHI Distribution, including but not limited to:
• Systems and Controls rules
• Conflicts of Interest
• Financial Promotions and Private Placement rules
• Inducements