Compliance Manager - SMA / Managed Accounts

Janus Henderson AAA CLO ETF; Denver (CO); On-site; USD 100,000 - 125,000; Full time

Benefits offered by this job

Paid volunteer time

Professional development support

Mindfulness app subscription

Health and well-being benefits

Employee events

Job summary

Janus Henderson AAA CLO ETF in Denver, Colorado, seeks a Compliance Manager to oversee compliance for SMA portfolios and ensure adherence to firm-wide guidelines. The role requires at least 7 years of investment management compliance experience and knowledge of the Advisers Act, along with familiarity with trading systems.

This position offers a hybrid work environment and benefits such as paid volunteer time, professional development support, and wellness programs.

Qualifications

• At least 7 years of experience in investment management or advisory compliance.
• Direct experience with SMA structures, portfolio guidelines, or wealth management platforms preferred.
• Strong documentation, analytical, and cross-functional communication skills.

Responsibilities

• Review and monitor SMA portfolios for compliance with guidelines.
• Support pre-trade and post-trade compliance monitoring processes.
• Investigate, document, and escalate guideline breaches.

Skills

Investment Management Compliance

SMA Structures Knowledge

Advisers Act Knowledge

Trading/Compliance Systems Familiarity

Analytical Skills

Cross-Functional Communication

Tools

Archer

Charles River

Aladdin

Job description

Compliance Manager - SMA / Managed Accounts

Division: Risk & Compliance (ex Lux)

Your opportunity

You will:

• Review and monitor SMA portfolios for compliance with client ‑ specific and firmwide guidelines and restrictions.
• Support pre ‑ trade and post ‑ trade compliance monitoring processes as well as provide compliance support to portfolio management and trading.
• Investigate, document, and escalate guideline breaches and compliance exceptions.
• Review and interpret Investment Management Agreements (IMAs), IPS documents, and client handbooks.
• Assist with compliance related client onboarding processes and procedures.
• Conduct periodic testing and compliance reviews in the SMA and Models business and present key trends and observations on a regular cadence.
• Advise on new products, highlighting potential compliance issues.
• Partner with the Head of SMA Development, Portfolio Management, Operations, Trading, and Technology to resolve compliance issues.
• Assist with regulatory exams, internal audits, and requests related to SMA programs.
• Develop, implement, and maintain policies, procedures, and processes to address key regulatory, compliance, and reputational risk areas for the SMA/Model business—liaising with compliance and legal teams across the organization—and support policy updates related to Rule 3a-4, the Advisers Act, fiduciary duties, best execution, and suitability standards for SMA/Model business.
• Review and maintain external disclosures and content related to the SMA business.
• Build and maintain relationships with senior management across the business and within Compliance globally.
• Keep informed of regulatory changes impactful to the SMA/Model business, trends, and focus within the industry and assist with assessing impact to the firm, including the creation of, or enhancements to, compliance controls and oversight.
• Provide periodic Compliance training to employees as needed.
• 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
• Maternal/paternal leave benefits and family services
• Complimentary subscription to Headspace – the mindfulness app
• Corporate membership to ClassPass and other health and well-being benefits
• Unique employee events and programs including a 14er challenge
• Complimentary beverages, snacks and all employee Happy Hours

Supervisory responsibilities

• No

Potential for growth

• Regular training
• Continuing education courses

Must have skills

• At least 7 years of experience in investment management or advisory compliance
• Direct experience with SMA structures, portfolio guidelines, or wealth management platforms preferred
• Knowledge of Advisers Act of 1940, fiduciary standards, and custodian requirements
• Understanding of current and proposed regulatory requirements impacting advisory services (e.g., SMAs) industry a plus.
• Familiarity with trading/compliance systems (e.g., Archer, Charles River, Aladdin)
• Strong documentation, analytical, and cross ‑ functional communication skills

Compensation information

The base salary range for this position is $100.000.00 - $125.000.00 This range is estimated for this role. Actual pay may be different. This position will be open through June 30, 2026.

Colorado law requires an estimated closing date for job postings. Please don't be discouraged from applying if you see this date has passed.

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.

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.

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.

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).

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.