Compliance Manager - SMA / Managed Accounts

Janus Henderson Investors•Denver, CO

2d•$100,000 - $125,000•Hybrid

About The Position

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!

Requirements

At least 7 years of experience in investment management or advisory compliance
Knowledge of Advisers Act of 1940, fiduciary standards, and custodian requirements
Familiarity with trading/compliance systems (e.g., Archer, Charles River, Aladdin)
Strong documentation, analytical, and cross‑functional communication skills

Nice To Haves

Direct experience with SMA structures, portfolio guidelines, or wealth management platforms preferred
Understanding of current and proposed regulatory requirements impacting advisory services (e.g., SMAs) industry a plus.

Responsibilities

Review and monitor SMA portfolios for compliance with client‑specific and firmwide guidelines and restrictions.
Support pre‑trade and post‑trade compliance monitoring processes as well as provide compliance support to portfolio management and trading.
Investigate, document, and escalate guideline breaches and compliance exceptions.
Review and interpret Investment Management Agreements (IMAs), IPS documents, and client handbooks.
Assist with compliance related client onboarding processes and procedures.
Conduct periodic testing and compliance reviews in the SMA and Models business and present key trends and observations on a regular cadence.
Advise on new products, highlighting potential compliance issues.
Partner with the Head of SMA Development, Portfolio Management, Operations, Trading, and Technology to resolve compliance issues
Assist with regulatory exams, internal audits, and requests related to SMA programs
Develop, implement, and maintain policies, procedures, and processes to address key regulatory, compliance, and reputational risk areas for the SMA/Model business—liaising with compliance and legal teams across the organization—and support policy updates related to Rule 3a-4, the Advisers Act, fiduciary duties, best execution, and suitability standards for SMA/Model business.
Review and maintain external disclosures and content related to the SMA business.
Build and maintain relationships with senior management across the business and within Compliance globally.
Keep informed of regulatory changes impactful to the SMA/Model business, trends, and focus within the industry and assist with assessing impact to the firm, including the creation of, or enhancements to, compliance controls and oversight.
Provide periodic Compliance training to employees as needed.
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.
competitive compensation
pension/retirement plans
various health, wellbeing and lifestyle benefits