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.
Role:
Assistant Compliance Manager
Location:
London
Department:
Compliance
The department
The Compliance division forms part of the wider Risk team within the Risk &
Compliance function, which reports directly to the Chief Risk Officer (CRO). The
compliance team in London has approximately 40 members, with a variety of
qualifications and experience, servicing not only the UK, but also Continental Europe, North America and Asia Pacific. The role is based in London but will involve regular interaction with Asia Pac and US teams.
Overview of the role
An opportunity has arisen for an Assistant Compliance Manager to join Investment Guideline Compliance as a monitoring resource, for both investment restrictions and threshold disclosures. This is a highly visible role within the firm and offers the successful candidate substantial breadth of experience within a dynamic environment.
The objective of the Investment Guideline Compliance team is as follows:
- Oversight and support to all fund management desks and the central dealing function in respect of investment guideline related matters;
- Investigate, prepare and generate market disclosures for threshold crossings.
- Investment guideline monitoring of pre and post trade alerts;
- Working with client services teams to prepare for account on-boarding and closing;
- Working with operational teams to address any challenges arising from exceptions;
- Preparation of reporting documentation for review by senior management;
- Represent compliance interests in business projects and working groups;
- Provide advice and guidance to the business on regulated fund and segregated mandate guidelines;
Duties and responsibilities
- Timely identification, investigation and communication of investment guidelines related issues.
- Investment guideline monitoring of Charles River pre, post and batch trade alerts and warnings.
- Research breaches to determine whether they are passive or active and consequently advise on associated actions.
- Clear communication with relevant stakeholders on breach related matters.
- Ability to interpret investment guidelines within fund documentation (operational, client specific, regulatory).
- Generation of thresholds disclosures (Long, Short and Takeover) for the market.
- Support the Head of EMEA Guideline Compliance with the preparation of business and committee reporting.
- Carry out additional duties as assigned.
Supervisory responsibilities
Key Relationships
- Heads of Investment Guideline Compliance and Investment Compliance
- Fund Managers
- Transitions
- Dealers
- Client Account Managers
- Operations
- Risk
- External & Internal Audit
Technical skills and qualifications
- The IMC or IAQ qualification is desirable although not essential.
- Previous experience in Investment Guidelines and / or Regulatory Disclosures would be advantageous.
- Systems: Charles River experience is preferred however not essential, suitable experience within the pre/post trade monitoring space is beneficial.
- Technical Knowledge: Working experience in the key regulatory issues and rule areas impacting JHI investment management.
- Products: Ideally experience across a range of product and instrument types including UCITS.
Competencies required
In addition to putting clients first, acting like an owner, and succeeding as a team, the competencies for this role include:
- Teamwork: Ability to work in multiple teams and leverage internal and external networks.
- Communication: Ability to communicate clearly and with confidence (verbally and in writing) with team members and key business representatives i.e. fund managers, dealers etc.
- Problem Solving: Ensuring complex regulation and its impact are communicated effectively.
- Risk Management: Understand potential risk issues facing the team and escalate.
- Leadership: Take ownership of the remediation of issues when identified.
- Good planning, organizational and prioritisation skills are essential.
- Ability to work effectively under pressure and meet tight deadlines.
- Support and train junior members of the team.
Ongoing competence in the role to be assessed, in line with applicable regulatory requirements, by:
- Annual performance appraisal
- Completion of all assigned compliance training
- Annual attestation (Knowledge and Competence in-scope roles only)
- 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.
