Distribution Compliance Leader (Senior Associate Director)

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

Benefits offered by this job

Health benefits

Wellbeing programs

Volunteer time off

Tuition/qualification reimbursement

Hybrid working

Job summary

Janus Henderson Investors is seeking a Senior Associate Director for Distribution Compliance in the U.S. to lead the review of marketing materials and ensure alignment with SEC, FINRA, and CFTC requirements across channels.

You will partner with Marketing, Distribution, Product, Legal, and Compliance to build scalable frameworks, embed governance, and drive risk-based guidance. This role requires deep regulatory knowledge and hands-on execution in a fast-paced environment.

Qualifications

• SIE, Series 7 and Series 24 registrations required.
• 10+ years in financial services, with focus on marketing/advertising compliance.
• 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 for compliance across channels.
• Advise on product launches and communications ensuring disclosures align with regulatory expectations.
• Deliver timely, practical guidance that enables partners to market within guardrails.
• Draft clear disclosures maintaining transparency and consistency.
• Develop and refine “Rules of the Road” for scalable review standards.
• Support workflow management and process improvements in the function.
• Assist with FINRA filing requirements and related records.
• Lead process improvements and technology adoption in compliance workflows.
• Collaborate across Marketing, Distribution, Product, Legal, and Compliance.
• Monitor evolving regulations and translate into actionable guidance.
• Participate in ad-hoc and ongoing projects within Compliance.

Skills

FINRA SIE

Series 7

Series 24

Experience in financial services

Regulatory knowledge

Marketing review

Regulatory guidance

Workflow tools

Education

Bachelor's degree or equivalent

Tools

Compliance systems

Workflow tools

Job description

Janus Henderson Investors is seeking a Senior Associate Director for Distribution Compliance in the U.S. to lead the review of marketing materials and ensure alignment with SEC, FINRA, and CFTC requirements across channels.

You will partner with Marketing, Distribution, Product, Legal, and Compliance to build scalable frameworks, embed governance, and drive risk-based guidance. This role requires deep regulatory knowledge and hands-on execution in a fast-paced environment.