Senior Associate Director, Distribution Compliance

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

Benefits offered by this job

Hybrid working

Wellbeing benefits

Volunteer time

Tuition reimbursement

Professional development

Parental leave

Employee events

Snacks & beverages

Job summary

Janus Henderson Investors seeks a senior compliance professional to join the U.S. Distribution Compliance team as Senior Associate Director.

The role blends marketing compliance, advertising review, and governance, delivering practical risk-aligned guidance while improving workflows and governance standards. You will partner with Marketing, Distribution, Product, Legal and Compliance to ensure disclosures and marketing materials meet regulatory expectations, driving process improvements and

Qualifications

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

Responsibilities

• Review marketing materials across channels for SEC/FINRA/CFTC and GIPS.
• Advise on product launch disclosures and positioning.
• Provide risk-aligned guidance to enable compliant marketing.
• Draft accurate disclosures with high transparency.
• Help develop Rules of the Road and scalable review standards.
• Improve workflows and documentation; support automation.
• Assist with FINRA filing requirements (prep/submission).
• Lead process improvements; adopt Red Oak and AI tools.
• Partner with Marketing, Legal, Product, Compliance.
• Monitor regulations and translate into actionable guidance.
• Contribute to ad-hoc and ongoing projects.

Skills

FINRA SIE/7/24

10+ years experience

Regulatory knowledge

Marketing review

Workflow tools

Communication skills

Prioritization

Education

Bachelor's degree or equivalent

Tools

Red Oak

AI-enabled tools

Compliance systems

Job description

Why work for us?

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

We are seeking a highly experienced, solutions-oriented compliance professional to join our U.S. Distribution Compliance team as a Senior Associate Director. This role sits at the intersection of marketing compliance, advertising review, and governance, contributing to a scalable and modern compliance framework that supports business growth.

You will serve as a trusted partner to the business, delivering practical, risk‑aligned guidance while playing a key role in enhancing workflows, strengthening governance standards, and supporting operational excellence across the marketing compliance function. This position is ideal for individuals who thrive in dynamic, high-impact environments and are motivated to balance strategic thinking with hands‑on execution, consistent with leading industry practices.

• 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

What to expect when you join our firm

• Hybrid working and reasonable accommodations
• Generous Holiday policies
• 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

• FINRA SIE, Series 7, and 24 registrations required
• 10+ years of experience in financial services, with significant 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

Nice to have skills

• Bachelor's degree or equivalent
• Experience reviewing institutional marketing, private funds, SMAs, or model portfolios
• Familiarity with global or multi‑jurisdictional compliance frameworks
• Experience with AI‑enabled compliance tools or automation initiatives
• Advanced knowledge of workflow governance or system configuration

Supervisory responsibilities

• No

Potential for growth

• Mentoring
• Leadership development programs
• Regular training
• Career development services
• Continuing education courses

Compensation information

The base salary range for this position is $130,000 - $150,000. This range is estimated for this role. Actual pay may be different. This position will be open through August 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].

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 licenses 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.