Job Information
Janus Henderson Investors Compliance Analyst in Denver, Colorado
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
Serve as a liaison and trusted partner to Transfer Agency employees, providing ongoing analysis and support to ensure compliance with FINRA rules, SEC regulations, various state regulations, and applicable Janus Henderson policies/procedures
Review client requests involving regulatory and/or legal issues and advise Transfer Agency employees on how to proceed.
Assist the Abandoned Property Administrator in fulfilling the requirements of multi-state Unclaimed Property rules
Advise on best practices and internal policies verbally and in writing with internal and external clients to mitigate risks to clients and the firm through the execution of forensic and transactional testing
Conduct a variety of in-depth analysis to certify compliance with regulations involving excessive trading, breakpoint selling, and share class suitability
Collaborate with the staff and management of the Legal Department, the US Financial Crime team, and other areas of Compliance
Contribute ideas for automation and process enhancements
Carry out other duties as assigned
What to expect when you join our firm
Hybrid working and reasonable accommodations
Generous Holiday policies
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
All-inclusive approach to Diversity, Equity and Inclusion
Maternal/paternal leave benefits and family services
Complimentary subscription to Headspace – the mindfulness app
Corporate membership to ClassPass and other health and well-being benefits
Unique employee events and programs including a 14er challenge
Complimentary beverages, snacks and all-employee Happy Hours
Must have skills
FINRA SIE and Series 6 licensed (must be obtained within 3 months of hire or promotion to position)
2 years mutual fund or financial services industry experience
Excellent interpersonal skills and a dedication to providing world class customer service
Strong verbal and written communication skills
Ability to think critically and look at all aspects and potential solutions to a situation or problem
Ability to adapt to investor communication style while servicing our diverse client base
Strong willingness to learn, ask questions and participate in a high-paced team setting
Must have a high degree of self-motivation and ability to be self-sufficient in utilizing available resources
Attention to detail and ability to exercise discretion and judgement in helping investors and internal clients by applying our processes, policies, and procedures
Intermediate knowledge of Microsoft Word & Excel
Ability to manage an issue or process, from start to resolution, and to demonstrate beneficial results
Nice to have skills
Outbound call center or external financial product experience
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 $60,000 - $70,000. This range is estimated for this role. Actual pay may be different. This role will remain open through December 31, 2024.
#LI-MM1, #LI-Hybrid
Compliance requirements
At a minimum the role will require you to:
Place the interest of Janus Henderson’s clients first, act in accordance with TCF (Treating Customers Fairly) principles
Understand and follow laws and regulations applicable for your role, seeking the help of your supervising manager or Compliance if additional guidance is required
Understand and abide by all Janus Henderson policies applicable to your role, and seek support/guidance of the policy owner guidance when required
You are ultimately accountable for your actions and responsible for seeking further information on any, or all, of the above as necessary.
Legal disclosure
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 set 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.
We are an equal opportunity / affirmative action employer. All applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or veteran status.
Annual Bonus Opportunity: Position is 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 (https://www.janushenderson.com/careers/) .
Janus Henderson Investors is an equal opportunity / Affirmative Action 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.
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.