Analyst, Investment Compliance

Janus Henderson Investors•Denver, CO

3d•$65,000 - $75,000•Hybrid

About The Position

As the Investment Compliance Analyst, you will be responsible for assisting with and performing critical functions of the Investment Compliance group. Responsibilities include being focused on monitoring pre- and post-trade compliance with federal and state regulatory requirements, operating policies, and fund/client-imposed investment limitations with a focus on equity, fixed income, and derivative products. This individual will have the opportunity to build trust, form relationships, and provide daily support to the Portfolio Management teams, Trading, and Operations staff. You will use your problem-solving skills to effectively monitor and improve the Investment Compliance framework.

Requirements

Bachelor's degree and relevant industry experience required.
Intermediate computer skills, including Microsoft Excel.
Strong analytical and problem-solving skills, attention to detail and ability to exercise balanced judgment and decision making under pressure required.
Familiarity with equity and fixed income securities and derivatives products required.
Proactive and highly self-motivated, possessing strong written and verbal communication skills, with the ability to communicate effectively at all levels, influence and maintain relationships, and manage client expectations and competing priorities.
Knowledge of fund management processes, instruments, products, and funds.
Good planning, prioritization, and organizational skills.

Nice To Haves

High energy, positive attitude, enthusiastic, professional, with a strong work ethic and willingness to engage senior team members when appropriate.
Some experience within asset management across a broad range of products and investment management fields is preferred.
Experience with Microsoft SQL, Visual Basic, Charles River, Aladdin and/or Bloomberg a plus.
Understanding of current and proposed regulatory requirements impacting the Funds Management industry a plus.

Responsibilities

Assist in providing support to Investments, Trading and Trade Operations regarding daily compliance exceptions and resolution.
Conduct, research and use problem solving skills to determine root cause of daily compliance exceptions.
Perform detailed reviews and/or complex calculations to confirm compliance with investment guidelines, regulatory restrictions, and/or ad-hoc requests.
Identify and communicate potential compliance issues and recommend corrective action where necessary.
Assist in preparing compliance reports to support ongoing compliance monitoring and testing as well as to provide documentation and information to management.
Partner with global counterparts to ensure appropriate regional coverage for pre-trade as well as find opportunities for global consistency.
Carry out additional duties as assigned.

Benefits

Hybrid working and reasonable accommodations
Generous Holiday policies
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
Corporate membership to ClassPass and other health and well-being benefits
Unique employee events and programs including a 14er challenge
Complimentary beverages, snacks and all employee Happy Hours
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. To learn more about our offerings please visit the Why Join Us section on the career page here.