Senior Associate Director, Distribution Compliance 1

Janus Henderson Investors•Denver, CO

13d•$130,000 - $150,000•Hybrid

About The Position

We are seeking a highly experienced, solutions-oriented compliance professional to join our U.S. Distribution Compliance team as a Senior Associate Director. This role sits at the intersection of marketing compliance, advertising review, and governance, contributing to a scalable and modern compliance framework that supports business growth. You will serve as a trusted partner to the business, delivering practical, risk-aligned guidance while playing a key role in enhancing workflows, strengthening governance standards, and supporting operational excellence across the marketing compliance function. This position is ideal for individuals who thrive in dynamic, high-impact environments and are motivated to balance strategic thinking with hands-on execution, consistent with leading industry practices.

Requirements

FINRA SIE, Series 7, and 24 registrations required
10+ years of experience in financial services, with significant focus on marketing/advertising compliance
Deep knowledge of SEC, FINRA, CFTC regulations, including considerations related to CPO oversight
Experience reviewing marketing materials across retail, intermediary, and institutional audiences
Strong ability to manage multiple priorities and deliver high-quality work in a fast-paced environment
Excellent written and verbal communication skills, with strong attention to detail
Experience with workflow tools and compliance systems

Nice To Haves

Bachelor's degree or equivalent
Experience reviewing institutional marketing, private funds, SMAs, or model portfolios
Familiarity with global or multi-jurisdictional compliance frameworks
Experience with AI-enabled compliance tools or automation initiatives
Advanced knowledge of workflow governance or system configuration

Responsibilities

Review advertising and marketing materials across channels (print, digital, social, web, presentations, RFPs) in compliance with SEC, FINRA, CFTC requirements, and GIPS standards
Review and advise on marketing communications related to product launches and product changes, ensuring disclosures, performance information, and positioning align with regulatory expectations
Deliver timely, practical, and well-reasoned guidance that enables business partners to market effectively within regulatory guardrails
Draft clear, accurate, and defensible disclosures, maintaining high standards of transparency and consistency
Support development and ongoing refinement of “Rules of the Road,” contributing to consistent and scalable review standards across Marketing, Distribution, Product, and Investments
Contribute to workflow management and process optimization, including prioritization, quality control, and continuous improvement of review processes
Support FINRA filing requirements, including preparation, submission, and maintenance of required records
Lead and support process improvement initiatives, including workflow enhancements, documentation standards, and adoption of enabling technologies (e.g., Red Oak)
Help implement technology-driven solutions, including exploration of AI-enabled review capabilities, in line with broader strategic priorities
Build strong, collaborative partnerships with Marketing, Distribution, Product, Legal, and Compliance stakeholders—acting as a trusted advisor who anticipates needs and communicates with clarity and confidence
Stay ahead of evolving regulations, interpret their impact, and translate requirements into actionable guidance
Influence and support firm-wide initiatives, working across business and control functions to embed compliance considerations early in the process
Participate in and lead ad-hoc and recurring projects across the Compliance function and broader organization
Contribute to a culture of continuous improvement, operational excellence, and proactive risk management
Carry out other 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