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About the Role
As Senior Compliance Manager, you will manage and perform key elements of investment compliance monitoring, focusing on the design, deployment, and oversight of Aladdin compliance tests. You will leverage your technical, analytical, and relationship-building skills to enhance automation, efficiency, and the control environment within the firm's investment compliance framework.
Responsibilities
- Collaborate with Investment, Trading, Legal, Operations, ESG, Data, and Client Services teams to assess compliance requirements and ensure contractual terms are accurately monitored within 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, maintaining strong relationships across the global Compliance function.
- Monitor relevant regulatory developments and emerging topics affecting Investment Compliance.
- Contribute to the development of AI tools supporting the Global Guideline Implementation Team.
- Carry out other duties as assigned.
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 provisions of our Investment Advisory Code of Ethics related to personal securities activities and other disclosure and certification requirements.
- Understanding of the regulatory obligations of the firm and adherence to regulated entity requirements and JHI policies applicable for the role.
Skills
- Aladdin
- Investment compliance methodologies
- US investment laws and regulations
- Investment Advisers Act of 1940
- Investment Company Act of 1940
- FINRA requirements
- Complex investment products
- Derivatives
- Fund management
- Trading activities
- Analytical skills
- Attention to detail
- Problem-solving
- Communication skills
- Microsoft SQL
- Python
- Snowflake
- Power Automate
- Process improvement
- Automation
- Technology-enabled controls
- AI tools
- Emerging technology solutions
Location
- Hybrid
Work Type
- Hybrid working
Experience Level
- Senior
- 8+ years
Salary/Compensations
- $150,000 - $165,000
Benefits
- Hybrid working and reasonable accommodations
- Generous Holiday policies
- Excellent Health and Wellbeing benefits including corporate membership to Wellhub
- Paid volunteer time
- Support for professional development courses
- Tuition/qualification reimbursement
- Maternal/paternal leave benefits and family services
- Unique employee events and programs
- Complimentary beverages, snacks and all employee Happy Hours
- Competitive compensation
- Pension/retirement plans
- Various health, wellbeing and lifestyle benefits
- Annual discretionary bonus opportunity
About the Company
- A career at Janus Henderson is about investing in a brighter future together.
- Our Mission at Janus Henderson is to help clients define and achieve superior financial outcomes through differentiated insights, disciplined investments, and world-class service.
- Our Values are key to driving our success, and are at the heart of everything we do: Clients Come First - Always | Execution Supersedes Intention | Together We Win | Diversity Improves Results | Truth Builds Trust
Equal Opportunity
- Janus Henderson Investors is an equal opportunity 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.
- We believe diversity improves results and we welcome applications from candidates from all backgrounds.
- We understand everyone has different commitments and while we can’t accommodate every flexible working request, we’re happy to be asked about work flexibility and our hybrid working environment.
- If you need any reasonable accommodations during our recruitment process, please get in touch and let us know at recruiter@janushenderson.com