Corporate Title: Compliance Trainee
Reporting Line: Head of Distribution Compliance
Revised Date: May 2019
Janus Henderson Investors is a leading independent global asset manager, dedicated to delivering the best outcomes for clients through a highly diversified range of actively-managed products.
We support our individual and institutional investors across a range of products, encompassing equities, fixed income, multi-asset and alternatives.
We are a team of independent and creative thinkers who work tirelessly to help our clients achieve their goals – and we do it by supporting a high-energy and collaborative culture that ensures our people love the place they work.
Janus Henderson is a truly global manager with US$357.3bn1 of assets under management. We have a diverse geographic footprint, employing over 2,000 staff in 27 office locations globally. Headquartered in London, we are dual-listed on the New York Stock Exchange and the Australian Securities Exchange.
1Janus Henderson pro-forma AUM as at 31 March 2019
The Compliance team is responsible for fostering and developing a compliant business culture, monitoring, assessing and reporting on the effectiveness of agreed key controls, providing advice on the development of various procedures, management of external relationships with regulators, clients, administrators and trustees, and educating and training employees on regulatory issues.
The EMEA Compliance Department is separated into distinct areas: Distribution Compliance; Investment Management Compliance, Monitoring, Core Compliance and Financial Crime, all of which report directly to the Head of Compliance, EMEA.
What you will learn
How the Compliance function promotes and encourages adherence to the regulatory obligations and rules to which JHI, management and staff are subject.
What you will be doing in more detail
The main purpose of the role will be to support the Distribution Compliance team in providing compliance oversight and regulatory advice.
In summary, the primary purpose of this job is to provide support the Head of Distribution Compliance, Compliance Managers and other team members in respect of all JHG distribution related activities, both retail and institutional.
The role will represent compliance in retail and institutional distribution matters, including but not limited to the following:
- Customer Interests initiatives including TCF and Conduct Risk
- Financial Promotion reviews
- Complaint resolution oversight and root cause analysis
- Trustee & Third Party Administrator liaison
- Regulatory Reporting
- Gifts & Entertainment/Inducements
- Breach management oversight and root cause analysis
- Assistance with regulatory change implementation projects
- Policy reviews
- Production of MI
The role will initially focus on the Distribution Compliance area and may subsequently involve supporting the other compliance teams.
What we are looking for
- Strong communication skills
- Strong attention to detail
- Organised with the ability to work on multiple projects
- Able to work in a deadline driven environment
- Team worker
- A high degree of enthusiasm and professionalism
- Be proactive in escalating issues.
At a minimum the role will require you to:
- Place the interest of Janus Henderson’s Clients first and always 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 you would like further explanation or direction regarding this
- Understand and abide by all Janus Henderson policies applicable to your role, and ask for the support/guidance of the policy owner if you are unsure at any time
- You are ultimately accountable for your actions and responsible for seeking further information on any or all of the above as necessary.
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.
Janus Henderson Investors (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 Investors at its sole discretion).
All applicants must be willing to comply with the provisions of Janus Henderson Investors' 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. 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. All applications are subject to background checks.