Manager, Investment Compliance

Janus Henderson • Denver, CO

7d • Hybrid

About The Position

This role is responsible for reviewing legal documents and implementing logic-based compliance rules into Charles River and Blackrock’s Aladdin for automated testing. The Manager will collaborate and consult with a wide range of internal stakeholders including Investments, Trading, Legal, Operations, ESG, Data and Client Services teams to ensure terms of contracts and agreements can be accurately monitored within the investment management system. The position involves communicating timely and effectively with internal business partners throughout the account onboarding process to discuss investment guidelines and compliance requirements, and advising on any potential issues. The role is also responsible for monitoring and actioning ad-hoc requests received via Service Now, establishing new processes as needed, and providing solutions to complicated problems. The Manager will work to improve the daily guideline oversight monitoring process to reduce manual testing and increase efficiency, ensure timely and accurate completion of assigned workloads, and work with operational teams to address challenges arising from data exceptions. Additionally, the role involves preparing reporting documentation for Senior Management, representing compliance interests in business projects and working groups, and contributing to the development of AI tools for the Global Guideline Implementation Team. Additional duties may be assigned.

Requirements

• A minimum of 5 years in the mutual fund or financial services industry
• Solid knowledge and understanding of the 1940 Act and other applicable SEC, CFTC and FINRA rules and regulations
• Advanced knowledge of compliance rule coding within an order management system such as: Charles River, Aladdin, Bloomberg AIM, or ThinkFolio
• Proficient user of the Microsoft Office suite of applications
• Basic/intermediate knowledge of Microsoft SQL (or a willingness to learn)
• Strong analytical skills, attention to detail and ability to exercise balanced judgment and decision making
• Solid understanding of equity and fixed income securities and derivatives products required
• High energy, positive demeanor, enthusiastic, professional, with a strong work ethic
• Pro-active and self-sufficient with ability to escalate where appropriate
• Strong interpersonal and stakeholder management skills
• Solid knowledge of fund management processes, instruments, products and funds
• Good planning, prioritization, problem solving, and organizational skills are essential
• Ability to work effectively under pressure and meet tight deadlines
• Bachelor’s degree or equivalent experience required; Finance, Economics or Accounting major preferred

Nice To Haves

• Experience working with a diverse range of investment products, including mutual funds and ETFs, separately managed accounts (SMAs), Collective Investment Trusts (CITs), private funds
• Experience with advanced coding utilizing software such as VBA, Python, Snowflake

Responsibilities

• Review legal documents and implement coding of logic-based compliance rules into Charles River and Blackrock’s Aladdin for automated testing
• Collaborate and consult with a wide range of internal stakeholders including Investments, Trading, Legal, Operations, ESG, Data and Client Services teams to ensure terms of the contracts and agreements can be accurately monitored within the investment management system
• Communicate timely and effectively with internal business partners throughout the account onboarding process to discuss investment guidelines and compliance requirements, and advise on any potential issues
• Responsible for monitoring and actioning ad-hoc requests received via Service Now
• Establish new processes as needed and provide solutions to complicated problems and be capable of presenting them in a clear and concise manner
• Work to improve the daily guideline oversight monitoring process to reduce manual testing and increase efficiency
• Ensure timely and accurate completion of assigned and delegated workloads
• Work with operational teams to address any challenges arising from data exceptions
• Prepare reporting documentation for review by Senior Management
• Represent compliance interests in business projects and working groups
• Contribute to the development of AI tools that can benefit the Global Guideline Implementation Team
• Carry out additional duties as assigned

Benefits

• Hybrid working and reasonable accommodations
• Generous Holiday policies
• Excellent Health and Wellbeing benefits including corporate membership to Wellhub
• 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
• 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

What This Job Offers

• Job Type: Full-time
• Career Level: Manager
• Education Level: Associate degree