Senior Investment Compliance Manager (Hybrid)

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

Benefits offered by this job

Hybrid working

Health benefits

Volunteer time

Professional development

Job summary

Janus Henderson Investors is seeking a compliance-focused professional to implement coding for rules within major OMS platforms and collaborate with Investments, Trading, Legal and Operations to ensure contractual terms are monitored in the investment system.

The role involves onboarding discussions, ad-hoc requests, and developing processes to improve guideline oversight. A strong background in mutual funds and industry regulations is essential.

Qualifications

• Minimum 5 years in mutual fund or financial services industry.
• Solid knowledge of 1940 Act and SEC, CFTC and FINRA rules.
• Advanced knowledge of compliance rule coding within OMS like Charles River/Aladdin/Bloomberg AIM/ThinkFolio.
• Proficient with Microsoft Office; basic SQL willingness to learn.
• Strong analytical skills, attention to detail, and balanced judgment.

Responsibilities

• Review legal documents and implement coding of logic-based compliance rules for automated testing.
• Collaborate with Investments, Trading, Legal, Operations, ESG, Data, and Client Services to monitor terms.
• Communicate guidelines and compliance requirements during onboarding with internal partners.
• Monitor ad-hoc requests via Service Now and provide clear solutions.
• Develop new processes and present solutions clearly and concisely.
• Improve daily guideline oversight to reduce manual testing and increase efficiency.
• Ensure timely completion of workloads and address data exceptions with operations.
• Prepare reporting documentation for Senior Management review.
• Represent compliance in projects and working groups.
• Contribute to AI tool development for the Global Guideline Implementation Team.

Skills

Mutual fund industry

Regulatory knowledge

Compliance coding

MS Office

SQL basics

Analytical skills

Attention to detail

Stakeholder management

Decision making

Education

Bachelor’s degree in Finance, Economics or Accounting

Tools

Charles River

Aladdin

Bloomberg AIM

ThinkFolio

Job description

Janus Henderson Investors is seeking a compliance-focused professional to implement coding for rules within major OMS platforms and collaborate with Investments, Trading, Legal and Operations to ensure contractual terms are monitored in the investment system.

The role involves onboarding discussions, ad-hoc requests, and developing processes to improve guideline oversight. A strong background in mutual funds and industry regulations is essential.