Senior Compliance Analyst

Janus Henderson Investors•Denver, CO

4d•$85,000 - $93,000•Hybrid

About The Position

A Senior Analyst role within the Investment Guideline Implementation Team managing investment restrictions across a spectrum of fund ranges and asset types. This is a highly visible role within the firm and offers the successful candidate substantial breadth of experience within a dynamic environment.

Requirements

1-3 years experience in the mutual fund or financial services industry
Working knowledge and understanding of the 1940 Act and other applicable SEC, CFTC and FINRA rules and regulations
Practical knowledge of 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

Charles River/ Aladdin experience
Experience in guideline management compliance, with a specific focus on fund management and dealing functions
Experience working with a diverse range of investment products, including mutual funds and ETFs, separately managed accounts (SMAs), Collective Investment Trusts (CITs), private funds

Responsibilities

Contribute to the review of legal documents and subsequent coding of logic-based compliance rules into Charles River and Blackrock’s Aladdin for automated testing
Assist with building and loading of lists utilized by compliance rules in Charles River
Responsible for monitoring and actioning ad-hoc requests received via Service Now
Collaborate and consult with a wide range of internal stakeholders including Investment, Trading, Legal, Operations, ESG, Data and Client Services teams to ensure terms of the contracts and agreements can be accurately monitored within Charles River
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 client services and implementation teams in order to prepare for account on-boardings and terminations, annual fund reviews, and new product launches
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 discretionary bonus award from the profit pool
Competitive compensation
Pension/retirement plans
Various health, wellbeing and lifestyle benefits