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:
Compliance Analyst
Location:
Australia - Sydney
Department:
Risk and Compliance
The department
The Risk and Compliance functions include approximately 125 roles globally, the majority of which are in the London headquarters and the Denver office.
Overview of the role
As a member of the Australia Risk and Compliance department, the Compliance Analyst will work alongside and support the Compliance Manager in providing end to end compliance advisory and support to the Australian business, participate in regional compliance activities and implement the Janus Henderson Group Risk and Compliance Frameworks.
Duties and responsibilities
The Asia Pacific Risk and Compliance department works closely with the Global Risk and Compliance functional teams based in London and Denver. The key tasks of the Australia Risk and Compliance team include:
- Develop and maintain Australian Risk and Compliance policies as required to supplement global policies
- Establish and implement local compliance monitoring program to meet Australian regulatory and business conduct requirements
- Establish and implement local financial crime frameworks in accordance with Australian regulation in conjunction with the global Financial Crime team
- Assess and mitigate compliance and operational risks associated with new product launches and product changes
- Stay up to date with regulatory developments in Australia and ensure implementation of regulatory changes by the business and in conjunction with the global Regulatory Developments team
- Ensure there are robust processes in place for compliance sign-off of marketing materials, due diligence questionnaires and presentations
- Review compliance breaches and risk events to ensure they are appropriately remediated, reported and preventative actions are implemented liaising with the Asia Pacific Operational Risk team
- Prepare and deliver compliance reporting for local boards and committees
- Prepare and deliver compliance training for staff in Australia
- Advise and partner with local business stakeholders to ensure they receive timely, appropriate advice
- Collaboration and co-operation with colleagues in Asia, Denver and London
Supervisory responsibilities
Technical skills and qualifications
- 3 to 5 years compliance and/or audit experience preferably with exposure to the Australian funds management industry
- Degree qualified (commerce/business, accounting, law)
- Some understanding of Australian Corporations Law, ASIC licensing, investments and compliance regimes
- Good understanding of processes and controls
- Strong Excel, Word and PowerPoint skills
Competencies required
In addition to putting clients first, acting like an owner, and succeeding as a team, the competencies for this role include:
- Self-starter with proven problem solving capabilities
- Willingness to learn on the job and work independently
- Team player with a flexible results driven approach and a growth mindset
- Good communication skills, both written and verbal
- Ability to deal with business units across time zones and regions
- Ability to adapt quickly in a rapidly changing environment
- Excellent organisational and time management skills
Ongoing competence in the role to be assessed 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.
- Must have the right to live & work in Australia
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.
