Senior Compliance Manager

Janus Henderson•Denver, CO

2d•Hybrid

About The Position

As Senior Compliance Manager within Janus Henderson’s Investment Guideline Implementation Team, you will support the firm’s investment compliance framework by managing and performing investment compliance monitoring, with a particular focus on designing, deploying, and overseeing Aladdin compliance tests. The role applies technical, analytical, and relationship-building skills to strengthen automation, efficiency, and controls. You will collaborate with Investment, Trading, Legal, Operations, ESG, Data, and Client Services teams to assess compliance requirements and ensure contractual terms can be monitored accurately in Aladdin. The role also partners with Technology and other internal teams on testing and implementing compliance requirements, workflows, and system enhancements. It represents Investment Compliance in business projects and working groups and contributes to AI tools for the Global Guideline Implementation Team. The position is hybrid. It offers a base salary range of $150,000–$165,000 and may be eligible for an annual discretionary bonus award based on company, department, team, and individual performance. Janus Henderson describes a comprehensive total rewards package for eligible employees, including competitive compensation, pension/retirement plans, and health, wellbeing, and lifestyle benefits.

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, with 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 requirements for personal securities activities and other disclosures and certifications, including those related to past political contributions and activities.

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 in 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 strong relationships across the global Compliance function.
Monitor relevant regulatory developments and emerging topics that may affect Investment Compliance.
Contribute to the development of AI tools that support 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 or qualification reimbursement.
Maternal/paternal leave benefits and family services.
Employee events and programs, including a 14er challenge.
Complimentary beverages, snacks, and all-employee Happy Hours.
Potential eligibility for an annual discretionary bonus award from the profit pool.
Pension/retirement plans and health, wellbeing, and lifestyle benefits for eligible employees.