Compliance Analyst

Janus Henderson Investors; Sydney; Hybrid; AUD 90.000 - 150.000; Vollzeit

Benefits dieser Stelle

Hybrid working

Volunteer time

Professional development

Diversity & inclusion

Parental leave

Headspace subscription

ClassPass

Networking events

Zusammenfassung

Janus Henderson Investors is seeking an experienced APAC Risk & Compliance professional to work with global teams in London and Denver. You will develop Australian policies, implement local monitoring programs, and stay current with Australian regulatory changes while coordinating with global colleagues.

The role requires 3-5 years of compliance experience, strong knowledge of Australian Corporations Law, and excellence in Excel/Word/PowerPoint.

Qualifikationen

• 3 to 5 years of compliance experience preferably within the fund management industry (other relevant financial and audit experience may be considered)
• Good understanding of Australian Corporations Law, ASIC licensing and regulatory requirements for funds management
• Strong Excel, Word and PowerPoint skills
• Excellent communication skills (both written and verbal), organizational and time management skills
• Ability to deal with business units across timezones and regions

Aufgaben

• Develop and maintain Australian Risk and Compliance policies as required to supplement global policies
• Establish and implement local compliance monitoring programs to meet Australian regulatory and business conduct requirements
• 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 Development team
• Execute the local financial crime framework in accordance with Australian regulations in conjunction with the central Financial Crime Compliance team based in London
• Assess and mitigate compliance and operational risks associated with new product launches and product changes
• Administer Group Compliance policies such as Personal Account Dealing and Gifts and Entertainment policies
• 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 in conjunction with the Operational Risk team
• Establish and maintain good working relationship with auditors and local regulators and act as liaison personnel on compliance, regulatory and audit matters
• Coordinate company secretarial activities in relation to the Australian entities including to prepare and deliver compliance reporting for local board and committees
• Assist to prepare and deliver compliance training for staff in Australia
• Collaboration and co-operation with colleagues in Asia, Denver and London
• Your role may require you to interact with other JHI offices, employees and third parties based in different time zones, outside of core business hours, such as the UK, USA and Asia.
• Carry out additional duties as assigned.

Kenntnisse

Compliance experience

Australian Corporations Law

Communication skills

Time zone collaboration

Tools

Excel

Word

PowerPoint

Jobbeschreibung

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A career at Janus Henderson is more than a job, it’s 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. We will do this by protecting and growing our core business, amplifying our strengths and diversifying where we have the right.

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

If our mission, values, and purpose align with your own, we would love to hear from you!

Your opportunity

The Asia Pacific Risk & Compliance department works closely with the Global Risk and Compliance functional teams based in London and Denver. You will have a dotted day to day reporting line to the Senior Compliance Manager and formal reporting line to the Head of Compliance Asia Pacific.

In addition to participating in global and regional compliance initiatives and processes, you will:

• Develop and maintain Australian Risk and Compliance policies as required to supplement global policies
• Establish and implement local compliance monitoring programs to meet Australian regulatory and business conduct requirements
• 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 Development team (where applicable)
• Execute the local financial crime framework in accordance with Australian regulations in conjunction with the central Financial Crime Compliance team based in London
• Assess and mitigate compliance and operational risks associated with new product launches and product changes
• Administer Group Compliance policies such as Personal Account Dealing and Gifts and Entertainment policies
• 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 in conjunction with the Operational Risk team
• Establish and maintain good working relationship with auditors and local regulators and act as liaison personnel on compliance, regulatory and audit matters
• Coordinate company secretarial activities in relation to the Australian entities including to prepare and deliver compliance reporting for local board and committees
• Assist to prepare and deliver compliance training for staff in Australia
• Collaboration and co-operation with colleagues in Asia, Denver and London
• Your role may require you to interact with other JHI offices, employees and third parties based in different time zones, outside of core business hours, such as the UK, USA and Asia.
• Carry out additional duties as assigned.

What to expect when you join our firm

• Hybrid working and reasonable accommodations
• Paid volunteer time to step away from your desk and into the community
• Support to grow through professional development courses, tuition/qualification reimbursement and more
• All-inclusive approach to Diversity, Equity and Inclusion
• Maternal/paternal leave benefits
• Complimentary subscription to Headspace – the mindfulness app
• Corporate membership to ClassPass and other health and well-being benefits
• All employee events including networking opportunities and social activities

Must have skills

• 3 to 5 years of compliance experience preferably within the fund management industry (other relevant financial and audit experience may be considered)
• Good understanding of Australian Corporations Law, ASIC licensing and regulatory requirements for funds management
• Strong Excel, Word and PowerPoint skills
• Excellent communication skills (both written and verbal), organizational and time management skills
• Ability to deal with business units across timezones and regions

Nice to have skills

• Good understanding of major investment markets and trends across most asset sectors
• Working knowledge and understanding of the processes and controls pertaining to asset managers, including unit trust vehicles
• Demonstrate good commercial acumen and often thinks outside the box
• Excellent analytical skills and strong attention to detail and accuracy
• Attitude to continuous improvement and change
• Ability to manage multiple tasks simultaneously
• Enjoy fostering an inclusive culture and value diverse perspectives
• Good planning, organizational and time management skills

Supervisory responsibilities

• No

Potential for growth

• Regular training
• Continuing education courses

You will be expected to understand the regulatory obligations of the firm, and abide by the regulated entity requirements and JHI policies applicable for your role.

At Janus Henderson Investors we’re committed to an inclusive and supportive environment. We believe diversity improves results and we welcome applications from all backgrounds. Don’t worry if you don’t think you tick every box, we still want to hear from you! 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 [e-mail]

Annual Bonus Opportunity:Position may be eligible to receive an annual discretionary bonus award from the profit pool. The profit pool is funded based on Company profits. Individual bonuses are determined based on Company, department, team and individual performance.

Benefits: Janus Henderson is committed to offering a comprehensive total rewards package to eligible employees that includes; competitive compensation, pension/retirement plans, and various health, wellbeing and lifestyle benefits. To learn more about our offerings please visit the Why Join Us section on the career page here .

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. All applications are subject to background checks.

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).

You should be willing to adhere to the provisions of our 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.

You will be expected to understand the regulatory obligations of the firm, and abide by the regulated entity requirements and JHI policies applicable for your role.