Compliance Analyst - Investment Guidelines

TN United Kingdom; London; Hybrid; GBP 40,000 - 70,000; Full time

Job summary

Join a forward-thinking firm as a Compliance Analyst, where your expertise in investment guideline monitoring will play a crucial role in ensuring adherence to regulatory standards. In this dynamic environment, you'll collaborate with various teams to identify and resolve compliance issues while contributing to the firm's mission of achieving superior financial outcomes. Enjoy the benefits of hybrid working, professional development opportunities, and a commitment to diversity and inclusion. If you're ready to make a significant impact in the finance sector, this is the opportunity for you!

Benefits

Hybrid working

Health and Wellbeing benefits

Paid volunteer time

Professional development courses

Maternal/paternal leave benefits

Complimentary subscription to Headspace

Networking opportunities

Lunch allowance

Qualifications

• Experience in compliance, preferably investment-related.
• Ability to interpret investment guidelines within fund documentation.

Responsibilities

• Identify and investigate investment guideline related issues.
• Communicate breach related matters with stakeholders.

Skills

Investment Guideline Monitoring

Communication Skills

Problem Solving

Regulatory Knowledge

Planning and Organisational Skills

Education

IMC or IAQ qualification

Tools

Charles River

Aladdin

Job description

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Compliance Analyst - Investment Guidelines, London

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Client:

Janus Henderson

Location:

London, United Kingdom

Job Category:

Finance

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EU work permit required:

Yes

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Job Reference:

d8feecfc9ef3

Job Views:

3

Posted:

05.05.2025

Expiry Date:

19.06.2025

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Job Description:

Why work for us?

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

An opportunity has arisen for an Analyst to join Investment Guideline Compliance as a monitoring resource on investment restrictions. This is a highly visible role within the firm and offers the successful candidate substantial breadth of experience within a dynamic environment.

The Investment Guideline Compliance team provides oversight and support to all fund management desks and the central dealing function in respect of investment guideline related matters, Investment guideline monitoring of pre and post trade alerts, works with client services teams to prepare for account on-boarding and closing, Works with operational teams to address any challenges arising from exceptions, prepares reporting documentation for review by senior management, and represents compliance interests in business projects and working groups.

You will be responsible for:

• Timely identification and investigation of investment guideline related issues.
• Investment guideline monitoring of 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).
• Support Senior Management with the preparation of business and committee reporting.

The jobholder must possess a high degree of credibility and should be keen to work with a team in a fast-paced environment.

What to expect when you join our firm

• Hybrid working and reasonable accommodations
• Excellent Health and Wellbeing benefits including corporate membership to ClassPass
• 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 and family services
• Complimentary subscription to Headspace – the mindfulness app
• All employee events including networking opportunities and social activities
• Lunch allowance for use within our subsidized onsite canteen

Must have skills

• Systems: Prior user experience of Charles River or Aladdin is required.
• Technical: Prior knowledge in key regulatory issues and rule frameworks (UCITs, 40 Act, ERISA etc).
• Teamwork: Ability to work in multiple teams and leverage internal / external networks.
• Communication: Ability to communicate clearly (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.
• Good planning, organisational and prioritisation skills are essential.
• Ability to work effectively under pressure and meet tight deadlines

Nice to have skills

• The IMC or IAQ qualification is desirable although not essential.
• Minimum 12 months previous experience in Compliance, preferably investment related.
• Products: Ideally experienced across a range of product and instrument types.
• Industry Experience: Typically, 1 to 2 years working experience at an Asset Manager or Investment Bank.

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 [emailprotected]