We are a leading independent global asset manager, dedicated to delivering the best outcomes for our clients through a highly diversified range of actively-managed products. We are truly global, supporting our individual and institutional investors across a range of products, encompassing equities, fixed income, multi-asset and alternatives. Our high-energy and collaborative culture at Janus Henderson helps our client achieve their goals and ensures that our people love the place they work.
Overview of the role
This senior-level position will serve as Chief Legal Counsel and Secretary to Janus Henderson’s U.S. retail and intermediary mutual fund products, referred to as Janus Investment Fund and Janus Aspen Series. You will have primary responsibility for management of the fund registration statement disclosure process and support of the mutual fund Board of Trustees, including oversight of materials drafting and meeting process for traditional open-end mutual funds.
Duties and responsibilities
You will:
- Have primary responsibility for Janus Henderson’s U.S. retail and intermediary mutual fund disclosure and board support process requiring close coordination with various stakeholders, including mutual fund directors (interested and disinterested), outside/Trustee counsel, and members of Janus Henderson’s senior management team
- Oversee and have significant participation in board support for traditional ’40 Act mutual funds, including board material preparation, coordination of materials with counsel and the board, and other corporate governance matters
- Be responsible for coordinating board meetings in the capacity as Secretary and Legal Counsel for the funds and serving as liaison with fund officers and trustees
- Oversee the disclosure process for new and existing U.S. mutual fund products, including prospectuses, statements of additional information, and proxy/merger statements on Form N-1A and Form N-14
- Participate in the product development process for 40 Act products
- Oversee the drafting of fund agreements with fund service providers, as well as preparing and coordinating related information
- Provide legal support for mutual fund D&O/E&O insurance
- Provide legal support for transfer agency matters involving the US 40 Act products
- Carry out additional duties as assigned
Supervisory responsibilities
Technical skills and qualifications
- Twelve years of experience as an attorney within a law firm or financial services company with concentration on ’40 Act matters. Prior experience supporting ’40 Act fund board process and ’40 Act fund disclosure process
- Law degree required
- Admission to at least one State Bar
Competencies required
In addition to putting clients first, acting like an owner, and succeeding as a team, the competencies for this role include:
- Strong technical expertise with ’40 Act matters, in particular for traditional open-end funds
- Superior interpersonal skills with a proven ability to effectively interact with senior management, trustee counsel and disinterested directors of fund boards
- Ability to lead board meetings
- Ability to effectively manage team of attorneys and paralegals
- Ability to exercise excellent legal judgment balanced with business needs
- Excellent verbal and written communication skills
- Ability to work in a team coordinated environment while also independently managing the board process
- Strong analytical, research, and problem solving skills
- Strong organizational skills with the ability to prioritize and manage multiple projects simultaneously
- Ability to maintain confidentiality
- Ability to work with minimal supervision
- Strong computer skills, including Microsoft Word and Excel
Ongoing competence in the role to be assessed, in line with applicable regulatory requirements, by:
- Annual performance appraisal
- Completion of all assigned compliance training
Compliance requirements
At a minimum the role will require you to:
- Place the interest of Janus Henderson’s Clients first, act in accordance with TCF (Treating Customers Fairly) principles
- Understand and follow laws and regulations applicable for your role, seeking the help of your supervising manager or Compliance if additional guidance is required
- Understand and abide by all Janus Henderson policies applicable to your role, and seek support/guidance of the policy owner guidance when required
- You are ultimately accountable for your actions and responsible for seeking further information on any or all of the above as necessary
Janus Henderson (including its subsidiaries) will not maintain existing or sponsor new industry registrations or licenses where not supported by an employee’s job functions (as determined by Janus Henderson at its sole discretion).
All applicants must be willing to comply with the provisions of Janus Henderson Investment Advisory Code of Ethics related to personal securities activities and other disclosure and certification requirements, including past political contributions and political activities. Applicants’ past political contributions or activity may impact applicants’ eligibility for this position. Janus Henderson is an equal opportunity /Affirmative Action employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability or veteran status. All applications are subject to background checks.
