Investment Compliance Advisory Analyst
About The Position
Assist the Investment Compliance Advisory Team across a number of key tasks to support the Janus Henderson control environment and Investment Teams Contribute to the development, review, and enhancement of compliance policies and procedures Coordinate and maintain Advisory-related due diligence and RFP content Coordinate, track and participate in compliance training initiatives for investment and business teams Perform periodic trade testing Support the firm’s policies and controls related to material nonpublic information (MNPI) including wall crossings and maintenance of the restricted and watch lists Assist with regulatory examinations and internal audits by preparing documentation and responding to information requests, as needed Partner with teams across the business to enhance compliance systems, automation, and reporting capabilities Contribute to reporting dashboards, and data-driven enhancements Carry out additional duties as assigned
Requirements
- Relevant experience in compliance or the asset management industry
- Foundational knowledge of asset management, compliance processes, instruments, products and funds
- Strong analytical skills, attention to detail and ability to exercise balanced judgment and decision making
- Pro-active and self-sufficient with ability to escalate where appropriate.
- Strong written and verbal communication skills, with the ability to communicate effectively at all levels, influence and build relationships, and manage client expectations and competing priorities
- Natural curiosity and a willingness to enhance technical knowledge
- General proficiency with office systems e.g. Excel, Word, Outlook
Nice To Haves
- Bachelor’s degree in Finance, Economics, Accounting, Business, or related field
- Experience with trading and compliance systems
- Experience in investment compliance within a U.S.-registered investment adviser or asset management firm
- Strong knowledge of U.S. securities laws and regulations, including the Investment Advisers Act of 1940 and Investment Company Act of 1940
Responsibilities
- Assist the Investment Compliance Advisory Team across a number of key tasks to support the Janus Henderson control environment and Investment Teams
- Contribute to the development, review, and enhancement of compliance policies and procedures
- Coordinate and maintain Advisory-related due diligence and RFP content
- Coordinate, track and participate in compliance training initiatives for investment and business teams
- Perform periodic trade testing
- Support the firm’s policies and controls related to material nonpublic information (MNPI) including wall crossings and maintenance of the restricted and watch lists
- Assist with regulatory examinations and internal audits by preparing documentation and responding to information requests, as needed
- Partner with teams across the business to enhance compliance systems, automation, and reporting capabilities
- Contribute to reporting dashboards, and data-driven enhancements
- 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
Stand Out From the Crowd
Upload your resume and get instant feedback on how well it matches this job.
What This Job Offers
Job Type
Full-time
Career Level
Entry Level
Number of Employees
501-1,000 employees
