Hybrid Investment Compliance Manager

Janus Henderson Group; Denver (CO); Hybrid; USD 100,000 - 120,000; Full time

Benefits offered by this job

Hybrid working

Wellbeing benefits

Volunteer time

Professional development

Parental leave

Employee events

Beverages and snacks

Job summary

Janus Henderson Investors seeks a compliance engineer with 5+ years in mutual funds to implement rules in Charles River and Aladdin, coordinating with Investments, Trading, Legal, Operations, ESG, Data and Client Services to ensure monitored terms.

The role includes onboarding discussions, handling Service Now requests, process improvements, and contributing to AI tools for the Global Guideline Implementation Team; hybrid schedule with strong benefits.

Qualifications

• Minimum 5 years in mutual fund or financial services.
• Solid knowledge of the 1940 Act and SEC, CFTC and FINRA rules.
• Advanced knowledge of compliance rule coding in OMS like Charles River, Aladdin, Bloomberg AIM, ThinkFolio.
• Proficient with Microsoft Office.
• Basic/intermediate SQL knowledge or willingness to learn.
• Strong analytical and stakeholder management skills.
• Understanding of equity and fixed income securities and derivatives.
• Bachelor’s degree or equivalent; Finance/Economics/Accounting preferred.

Responsibilities

• Review documents and encode compliance rules in Charles River and Aladdin for automated tests.
• Collaborate with Investments, Trading, Legal, Operations, ESG, Data and Client Services to monitor terms.
• Inform internal partners during onboarding about investment guidelines and compliance issues.
• Monitor ad-hoc requests via Service Now.
• Create new processes and present solutions clearly to stakeholders.
• Improve daily guideline oversight to cut manual testing and boost efficiency.
• Prepare reporting for Senior Management.
• Represent compliance in projects and working groups.
• Contribute to AI tool development for the Global Guideline Implementation Team.

Skills

Mutual fund industry experience

SEC/FINRA rules knowledge

Compliance rule coding

Microsoft Office proficiency

SQL knowledge

Analytical skills

Stakeholder management

Ability to work under pressure

Education

Bachelor’s degree in Finance/Economics/Accounting

Tools

Charles River

Aladdin

Bloomberg AIM

ThinkFolio

Job description

Janus Henderson Investors seeks a compliance engineer with 5+ years in mutual funds to implement rules in Charles River and Aladdin, coordinating with Investments, Trading, Legal, Operations, ESG, Data and Client Services to ensure monitored terms.

The role includes onboarding discussions, handling Service Now requests, process improvements, and contributing to AI tools for the Global Guideline Implementation Team; hybrid schedule with strong benefits.