Senior Compliance Manager

Janus Henderson Investors•Boston, MA

3d•$150,000 - $165,000•Hybrid

About The Position

As Senior Compliance Manager within the Investment Guideline Implementation Team, you will play a visible and critical role in the firm’s investment compliance framework. You will manage and perform key elements of investment compliance monitoring, with a particular focus on designing, deploying and overseeing Aladdin compliance tests. You will use technical, analytical and relationship-building skills to strengthen automation, efficiency and the control environment. The position collaborates with Investment, Trading, Legal, Operations, ESG, Data and Client Services teams to assess compliance requirements and ensure contractual terms can be monitored accurately within Aladdin. It involves reviewing legal documents and translating investment restrictions into logic-based rules for automated testing; developing, testing and maintaining Aladdin rules across onboarding, amendments, reviews, new instruments and products, and system upgrades; and partnering with Technology and internal teams on compliance requirements, workflows and system enhancements. The role also improves daily guideline oversight through greater automation and stronger preventative controls, identifies and presents solutions to complex issues, represents Investment Compliance in projects and working groups, monitors relevant regulatory developments, and contributes to AI tools for the Global Guideline Implementation Team. Other duties may be assigned.

Requirements

A minimum of 8 years of investment compliance experience.
Advanced working knowledge of Aladdin and investment compliance methodologies and techniques.
Strong knowledge of US investment laws and regulations, including the Investment Advisers Act of 1940, the Investment Company Act of 1940 and applicable FINRA requirements.
Significant experience with complex investment products, derivatives, fund management and trading activities.
Strong analytical skills, attention to detail, and the ability to exercise balanced judgment and make sound decisions.
Ability to solve complex problems, manage competing priorities and deliver accurate work within tight deadlines.
Strong written and verbal communication skills, including the ability to influence, build relationships and communicate effectively at all levels.
A proactive and self-sufficient approach, with the judgment to escalate issues when appropriate.
Willingness to adhere to the Investment Advisory Code of Ethics provisions on personal securities activities and disclosure and certification requirements, including past political contributions and political activities.
Ability to understand the firm’s regulatory obligations and comply with regulated-entity requirements and applicable JHI policies.

Nice To Haves

Working knowledge of Microsoft SQL, Python, Snowflake or Power Automate.
Experience improving compliance processes through automation or technology-enabled controls.
Experience contributing to AI-enabled tools or other emerging technology solutions in a compliance environment.

Responsibilities

Manage and perform key elements of investment compliance monitoring, particularly the design, deployment and oversight of Aladdin compliance tests.
Collaborate with Investment, Trading, Legal, Operations, ESG, Data and Client Services teams to assess compliance requirements and ensure contractual terms can be monitored accurately within Aladdin.
Review legal documents and translate investment restrictions into logic-based investment guideline rules for automated testing in Aladdin.
Develop, test and maintain Aladdin rules for new account onboarding, amendments, back-to-source reviews, new instruments, new products and system upgrades.
Partner with Technology and other internal teams to test and implement compliance requirements, workflows and system enhancements.
Improve daily guideline oversight by increasing automation, strengthening preventative controls and reducing manual testing.
Identify solutions to complex issues and present recommendations clearly to stakeholders and senior management.
Represent Investment Compliance in business projects and working groups while maintaining relationships across the global Compliance function.
Monitor regulatory developments and emerging topics that may affect Investment Compliance.
Contribute to development of AI tools supporting the Global Guideline Implementation Team.
Carry out other duties as assigned.

Benefits

Hybrid working and reasonable accommodations.
Generous holiday policies.
Health and wellbeing benefits, including corporate membership to Wellhub.
Paid volunteer time.
Professional development courses and tuition/qualification reimbursement.
Maternal/paternal leave benefits and family services.
Employee events and programs, including a 14er challenge.
Complimentary beverages, snacks and employee Happy Hours.
Annual discretionary bonus opportunity, subject to company, department, team and individual performance.
Pension/retirement plans and health, wellbeing and lifestyle benefits.
Mentoring, leadership development programs, regular training, career development services and continuing education courses.