This job is closed
We regret to inform you that the job you were interested in has been closed. Although this specific position is no longer available, we encourage you to continue exploring other opportunities on our job board.
Compliance Analyst
Janus Henderson Investors US - Denver, CO
posted about 2 months ago
About the position
The Compliance Analyst at Janus Henderson Investors plays a crucial role in ensuring compliance with various financial regulations and internal policies. This position serves as a liaison between Transfer Agency employees and regulatory bodies, providing analysis and support to mitigate risks and ensure adherence to compliance standards. The role involves conducting in-depth analyses, advising on best practices, and collaborating with various departments to enhance compliance processes.
Responsibilities
- Serve as a liaison and trusted partner to Transfer Agency employees, providing ongoing analysis and support to ensure compliance with FINRA rules, SEC 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.
Requirements
- 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-haves
- Outbound call center or external financial product experience.
Benefits
- 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.
