Investment Compliance Advisory Analyst

GWP•Denver, CO

7d•$65,000 - $75,000•Hybrid

About The Position

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 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 What to expect when you join our firm 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

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
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.