Compliance Analyst

$60,000 - $70,000/Yr

Janus Henderson US (Holdings) - Denver, CO

posted 2 months ago

Full-time - Mid Level
Hybrid - Denver, CO

About the position

The Compliance Analyst at Janus Henderson plays a crucial role in ensuring adherence to regulatory standards and internal policies within the Transfer Agency. This position involves providing analysis and support to mitigate risks, advising on compliance matters, and collaborating with various departments to uphold the firm's commitment to client service and regulatory compliance.

Responsibilities

  • Serve as a liaison and trusted partner to Transfer Agency employees, providing ongoing analysis and support to ensure compliance with FINRA rules, SEC regulations, and applicable Janus Henderson policies/procedures.
  • Review client requests involving regulatory and/or legal issues and advise Transfer Agency employees on how to proceed.
  • Assist the Abandoned Property Administrator in fulfilling the requirements of multi-state Unclaimed Property rules.
  • Advise on best practices and internal policies verbally and in writing with internal and external clients to mitigate risks to clients and the firm through the execution of forensic and transactional testing.
  • Conduct a variety of in-depth analysis to certify compliance with regulations involving excessive trading, breakpoint selling, and share class suitability.
  • Collaborate with the staff and management of the Legal Department, the US Financial Crime team, and other areas of Compliance.
  • Contribute ideas for automation and process enhancements.
  • Carry out other duties as assigned.

Requirements

  • FINRA SIE and Series 6 licensed (must be obtained within 3 months of hire or promotion to position).
  • 2 years mutual fund or financial services industry experience.
  • Excellent interpersonal skills and a dedication to providing world class customer service.
  • Strong verbal and written communication skills.
  • Ability to think critically and look at all aspects and potential solutions to a situation or problem.
  • Ability to adapt to investor communication style while servicing our diverse client base.
  • Strong willingness to learn, ask questions and participate in a high-paced team setting.
  • Must have a high degree of self-motivation and ability to be self-sufficient in utilizing available resources.
  • Attention to detail and ability to exercise discretion and judgement in helping investors and internal clients by applying our processes, policies, and procedures.
  • Intermediate knowledge of Microsoft Word & Excel.
  • Ability to manage an issue or process, from start to resolution, and to demonstrate beneficial results.

Nice-to-haves

  • Outbound call center or external financial product experience.
  • Potential for growth.
  • Mentoring.
  • Leadership development programs.
  • Regular training.
  • Career development services.
  • Continuing education courses.

Benefits

  • Paid holidays
  • Health insurance
  • Paid volunteer time
  • Support for professional development courses
  • Tuition/qualification reimbursement
  • Maternal/paternal leave benefits
  • Family services
  • Complimentary subscription to Headspace
  • Corporate membership to ClassPass
  • Unique employee events and programs
  • Complimentary beverages, snacks and all-employee Happy Hours
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