Manager, Investment Compliance

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

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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

• Review legal documents and implement coding of logic-based compliance rules into Charles River and Blackrock’s Aladdin for automated testing
• Collaborate and consult with a wide range of internal stakeholders including Investments, Trading, Legal, Operations, ESG, Data and Client Services teams to ensure terms of the contracts and agreements can be accurately monitored within the investment management system
• Communicate timely and effectively with internal business partners throughout the account onboarding process to discuss investment guidelines and compliance requirements, and advise on any potential issues
• Responsible for monitoring and actioning ad-hoc requests received via Service Now
• Establish new processes as needed and provide solutions to complicated problems and be capable of presenting them in a clear and concise manner
• Work to improve the daily guideline oversight monitoring process to reduce manual testing and increase efficiency
• Ensure timely and accurate completion of assigned and delegated workloads
• Work with operational teams to address any challenges arising from data exceptions
• Prepare reporting documentation for review by Senior Management
• Represent compliance interests in business projects and working groups
• Contribute to the development of AI tools that can benefit the Global Guideline Implementation Team
• Carry out additional duties as assigned.

What to expect when you join our firm

• Hybrid working and reasonable accommodations
• Excellent Health and Wellbeing benefits including corporate membership to Wellhub
• 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
• Unique employee events and programs including a 14er challenge
• Complimentary beverages, snacks and all employee Happy Hours

Must have skills

• A minimum of 5 years in the mutual fund or financial services industry
• Solid knowledge and understanding of the 1940 Act and other applicable SEC, CFTC and FINRA rules and regulations
• Advanced knowledge of compliance rule coding within an order management system such as: Charles River, Aladdin, Bloomberg AIM, or ThinkFolio
• Proficient user of the Microsoft Office suite of applications
• Basic/intermediate knowledge of Microsoft SQL (or a willingness to learn)
• Strong analytical skills, attention to detail and ability to exercise balanced judgment and decision making
• Solid understanding of equity and fixed income securities and derivatives products required
• High energy, positive demeanor, enthusiastic, professional, with a strong work ethic
• Pro-active and self-sufficient with ability to escalare where appropriate
• Strong interpersonal and stakeholder management skills
• Solid knowledge of fund management processes, instruments, products and funds
• Good planning, prioritization, problem solving, and organizational skills are essential
• Ability to work effectively under pressure and meet tight deadlines
• Bachelor’s degree or equivalent experience required; Finance, Economics or Accounting major preferred

Nice to have skills

• Experience working with a diverse range of investment products, including mutual funds and ETFs, separately managed accounts (SMAs), Collective Investment Trusts (CITs), private funds
• Experience with advanced coding utilizing software such as VBA, Python, Snowflake

Supervisory responsibilities

• No

Potential for growth

• Regular training
• Continuing education courses

Compensation information

The base salary range for this position is $100,000 - $120,000. This range is estimated for this role. Actual pay may be different. This position will be open through October 31, 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.

At Janus Henderson Investors we’re committed to an inclusive and supportive environment. We believe diversity improves results and we welcome applications from candidates 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 [e-mail] .

#LI-MM1 #LI-Hybrid

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.

Benefits: Janus Henderson is committed to offering a comprehensive total rewards package to eligible employees that includes; competitive compensation, pension/retirement plans, and various health, wellbeing and lifestyle benefits. To learn more about our offerings please visit the Why Join Us section on the career page here .

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.

Janus Henderson (including its subsidiaries) will not maintain existing or sponsor new industry registrations or licences where not supported by an employee’s job functions (as determined by Janus Henderson at its sole discretion).

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.

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.