Distribution Compliance Lead - Senior Associate Director

Janus Henderson Group; Denver (CO); Hybrid; USD 130,000 - 150,000; Full time

Benefits offered by this job

Health and wellbeing benefits

Volunteer time

Professional development & tuition/reb

Parental leave benefits

Employee events

Beverages & snacks

Job summary

Janus Henderson Investors in Denver, Colorado is seeking a Senior Associate Director, Distribution Compliance to lead marketing/compliance reviews across channels and provide risk-aligned guidance. The role sits at the intersection of marketing compliance and governance, shaping a scalable framework to support growth.

You will partner with Marketing, Distribution, Product, Legal, and Compliance to ensure disclosures and positioning meet regulatory standards while building robust review processes

Qualifications

• 10+ years of experience in financial services, with significant focus on marketing/advertising compliance.
• FINRA SIE, Series 7, and 24 registrations required.
• Deep knowledge of SEC, FINRA, CFTC regulations, including considerations related to CPO oversight.
• Experience reviewing marketing materials across retail, intermediary, and institutional audiences.
• Strong ability to manage multiple priorities and deliver high-quality work in a fast-paced environment.
• Excellent written and verbal communication skills, with strong attention to detail.
• Experience with workflow tools and compliance systems.

Responsibilities

• Review advertising and marketing materials across channels (print, digital, social, web, presentations, RFPs) in compliance with SEC, FINRA, CFTC requirements, and GIPS standards.
• Review and advise on marketing communications related to product launches and product changes, ensuring disclosures, performance information, and positioning align with regulatory expectations.
• Deliver timely, practical, and well-reasoned guidance that enables business partners to market effectively within regulatory guardrails.
• Draft clear, accurate, and defensible disclosures, maintaining high standards of transparency and consistency.
• Support development and ongoing refinement of “Rules of the Road,” contributing to consistent and scalable review standards across Marketing, Distribution, Product, and Investments.
• Contribute to workflow management and process optimization, including prioritization, quality control, and continuous improvement of review processes.
• Support FINRA filing requirements, including preparation, submission, and maintenance of required records.
• Lead and support process improvement initiatives, including workflow enhancements, documentation standards, and adoption of enabling technologies (e.g., Red Oak).
• Help implement technology-driven solutions, including exploration of AI-enabled review capabilities, in line with broader strategic priorities.
• Build strong, collaborative partnerships with Marketing, Distribution, Product, Legal, and Compliance stakeholders—acting as a trusted advisor who anticipates needs and communicates with clarity and confidence.
• Stay ahead of evolving regulations, interpret their impact, and translate requirements into actionable guidance.
• Influence and support firm-wide initiatives, working across business and control functions to embed compliance considerations early in the process.
• Participate in and lead ad-hoc and recurring projects across the Compliance function and broader organization.
• Contribute to a culture of continuous improvement, operational excellence, and proactive risk management.
• Carry out other duties as assigned

Skills

FINRA SIE

Series 7

Series 24

10+ years experience

Regulatory knowledge

Written & verbal communication

Workflow tools experience

Education

Bachelor's degree or equivalent

Tools

Compliance systems

Job description

Janus Henderson Investors in Denver, Colorado is seeking a Senior Associate Director, Distribution Compliance to lead marketing/compliance reviews across channels and provide risk-aligned guidance. The role sits at the intersection of marketing compliance and governance, shaping a scalable framework to support growth.

You will partner with Marketing, Distribution, Product, Legal, and Compliance to ensure disclosures and positioning meet regulatory standards while building robust review processes