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    Compliance Manager - Denver, United States - Janus Henderson Group

    Janus Henderson Group
    Janus Henderson Group Denver, United States

    3 weeks ago

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    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


    • The Compliance Manager joins a team responsible for ensuring communications with our clients, shareholders, and prospective investors are compliant with regulations and acts as a trusted partner to the Distribution team.
    • Review advertising and marketing materials pursuant to FINRA and SEC Regulations and GIPS standards.
    • Provide timely, creative, clear, and thoughtful guidance to business partners and team members on advertising compliance matters for existing products and new product launches.
    • Collaborate with internal partners and develop professional relationships.
    • Stay abreast of changing regulations that impact our business.
    • Be a change agent in optimizing, implementing, and continuously evolving best-in-class review processes, policies, and procedures.
    • Proactively pursue professional development activities.
    • Show confidence in your understanding of applicable rules and willingness to expand that understanding as needed for the role.
    • Assist on ad-hoc and recurring projects affecting the broader compliance department and business units.
    • Carry out additional 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
    • Discounted 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, Series 7 and 24 FINRA registrations required.
    • Minimum 8 years of mutual fund or financial industry experience with significant emphasis on compliance analysis and focus on advertising review.
    • Experience applying FINRA advertising regulations to social media and public relations related communications.
    • In-depth knowledge and understanding of applicable SEC, FINRA and CFTC/NFA regulations for investment companies, investment advisors, and commodity pool operators/trading advisors.
    • Excellent interpersonal, written and verbal communication skills.
    • Ability to master existing and new technologies for Ad Review automated workflows and produce meaningful management information/reporting.
    • Product knowledge: equity and fixed income mutual funds, separately managed institutional accounts, exchange traded products, hedge funds, other alternative products, composites, and proprietary indices.
    Nice to have skills


    • Bachelor's degree or equivalent.
    • Be resourceful at identifying and proactively resolving issues.
    • Media/Public Relations and Social Media savvy skills.
    • Intermediate to advanced computer skills, including social media software and platforms, Microsoft Word and Excel
    • Familiarity with GIPS and CFTC a plus.
    Potential for growth


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


    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.

    At Janus Henderson Investors we're committed to an inclusive and supportive environment. We believe diversity improves results and we welcome applications 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

    Compensation information - US ONLY

    The base salary range for this position is $105,000- $115,000. This range is estimated for this role. Actual pay may be different. The role will remain open through May 31, 2024.

    #LI-SW1, #LI-Hybrid

    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.

    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.

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