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.
The department
The Risk & Compliance Function, which comprises Investment Risk, Operational Risk, Credit Risk and Compliance, forms the second line of defence in Janus Henderson’s global risk management framework. The Risk and Compliance function monitor the financial, operational and regulatory risks in the business and the related controls in place to manage these risks. These functions provide independent oversight of the risk management performed by the first line businesses.
Overview of the role
An opportunity has arisen for someone experienced Compliance professional to lead the Global Trade Surveillance Team and contribute to the development of the trade surveillance function which is primarily focused on market abuse risk.
This is a great opportunity for someone with relevant experience to take on a challenging role within a growing area. The surveillance process requires good quantitative skills as it includes the analysis of trade sequences for conduct inconsistent with regulatory rules.
The role combines elements of both “business as usual” and project development.
Duties and responsibilities
You will:
- Be Responsible for running a global team primarily responsible for the review and analysis of alerts generated by the suite of trade surveillance tests
- Quality assurance of alert reviews and closure
- Lead the relationship with NASDAQ for the NASDAQ Buyside system
- Identify and implement additional trade surveillance tests in line with the business risk profile as necessary
- Complete an annual Market Abuse Risk Assessment
- Lead the team in completing additional non MAR testing including second line of defense Side by Side, Best Execution and Order Handling testing
- Production of MI for Investment Compliance Management and relevant boards and committees (including the Front Office Governance and Risk Committee and Side by Side Risk Committee)
- Responsible for articulating key findings to senior business stakeholders
- Responsible for raising any issues to the Head of Investment compliance & regional heads of investment compliance
- Assisting with trade surveillance ad-hoc reports when required
- Participate in special projects and regulatory requests
- Liaise with IT in respect of required development and testing of third party system solutions
- Carry out additional duties as assigned.
Supervisory responsibilities
Technical skills and qualifications
- Trade Surveillance /monitoring related experience within an Asset Management Firm
- Deep understanding of Market Abuse Regulations and the assessment of the varying levels of regulatory risk associated with different investment strategies
- Regulatory reporting experience
- Degree educated
- Investment management experience
- Strong spreadsheet skills
Competencies required
In addition to putting clients first, acting like an owner, and succeeding as a team, the competencies for this role include:
- Excellent communication skills (verbal and written) and ability to communicate at all levels
- Strong relationship building attributes enabling positive lasting relationships to be developed with all levels of the business
- Professional credibility gained through relevant risk experience
- The strength of character to be able to present risk management and compliance issues firmly to senior management and deliver appropriate challenge when necessary
- Highly motivated and resilient – able to deal with pressurised situations, focusing on the task in hand and objective solutions
- The ability to act independently and influence a variety of people, including senior management, in order to achieve their objectives
- Experience utilising Bloomberg and/or Thompson Reuters
- Strong attention to detail
- Results orientated with high commitment to quality and delivery
- Ability to build relationships within the Compliance Department, the wider business, and auditors and regulators
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.
