Janus Henderson Investors Internal Controls Manager, Investment Management in London, United Kingdom

Janus Henderson Global Investors is a leading independent global asset manager, dedicated to delivering the best outcomes for clients through a broad range of actively managed funds.

We provide our institutional, retail and high net-worth individuals with access to skilled investment professionals representing a broad range of asset classes including, equities, fixed income, multi asset and alternatives.

We are a team of independent thinkers who work tirelessly to help our clients achieve their goals – and we do it by fostering an energetic and collaborative culture that ensures our people love the place they work.

Headquartered in London, Janus Henderson is a truly global asset manager with a diverse geographic footprint, managing assets from 27 offices globally and employing more than 2,000 staff.

Corporate Title: Internal Controls Manager, Investment Management

Department: Investment Management

Reporting Line: Global Head of Investment Services

Location: London

Salary: Competitive

Posting Date: 29/06/2018

Closing Date: 28/07/2018

The Department

Investment Management incorporates Janus Henderson’s Fixed Income, Equities, Multi-Asset and Alternatives departments, as well as the Trading and Investment Services teams. Together, these businesses and teams are responsible for all fund management and investment strategy on behalf of Janus Henderson’s clients.

Overview of the Role

The post holder supports the Chief Investment Officer, Global Head of Fixed Income, Co-Heads of Equities and the Global Head of Front Office Services, also known as the Investment Management leadership team (“the leadership team”) to support and maintain an effective governance framework within the Investment Management department.

The post holder is responsible for the ongoing administration and oversight of the Investment Management governance arrangements i.e. the committees, forums and processes which ensure that risks inherent to the department are managed in line with the department’s risk appetite.

The role provides opportunities to actively engage with and support a broad range of stakeholders at all levels globally and as a result broaden relationships and partnerships across different functions within the business.

Duties and Responsibilities

Program Management

  • Represent the needs of IM senior leadership team in designing risk metrics and frameworks

  • Build and implement framework for supporting senior management under SMCR

  • Further development of the Side-by-side monitoring program

  • Implement, in partnership with others, improvements in Cash Management and the build-out of SEC Liquidity rules

  • Seek ways to embed technology in our risk monitoring and mitigation processes

Governance Administration

  • Support the leadership team in the ongoing maintenance of the governance arrangements in place across the business units and, where applicable, support the business to establish new and/or enhanced governance mechanisms to escalate, oversee and manage the risks inherent to the department activities.

  • Provide secretariat support to the meeting Chair(s) i.e. meeting materials preparation, collation and distribution, meeting minutes production, tracking of actions, documentation of decisions and escalations, maintenance of terms of reference/charters.

  • Attend governance meetings, where applicable and requested to do so, to provide analysis and inputs to contribute to the discussions and decision making process.

  • Maintain the governance records (meeting packs, minutes etc…) on the central repository for all Investment Management Committees and Forums.

  • Coordinate the answers to RFP requests related to the Investment Management governance arrangements.

  • Provide ad-hoc training e.g. to new committee / forum members on the governance arrangements within the Investment Management department and their expected role and responsibilities.

Management Information & Reporting

  • Coordinate the implementation and maintenance of key indicators / Management Information to equip the leadership team with tools and mechanisms e.g. dashboards enabling a proactive assessment and monitoring of risk exposures vs. the department and/or firm’s risk appetite statement.

  • Coordinate the collation and documentation of Management Information / Key Indicators relevant to the Investment Management department and quality check the information provided to support insightful reporting to the leadership team.

  • Regularly monitor and, where applicable, escalate any concerns regarding increases in risk exposures and potential risk appetite breaches. Where appropriate, support the leadership team in the articulation of remediation plans/actions.

  • Provide key indicators commentaries to support the reporting of the risk appetite dashboard to the Board Risk Committee.

  • Prepare the leadership team for interactions with regulators and Boards including the production of ad-hoc reports/papers as required.

Internal Controls Management

  • Coordinate the globalization of policies and procedures owned by Investment Management employees, liaising with the Compliance and Enterprise Risk teams where necessary; where applicable create/refresh new/existing policies and procedures.

  • Coordinate the quarterly refresh and annual delivery of the Investment Management Risk and Control Self Assessments (RCSAs), working closely with the Enterprise Risk team.

  • Support the leadership team and their direct reports in the articulation and documentation of issues and actions required to reduce risk exposures or improve processes where applicable e.g. after the discovery of a risk event / trade error.

  • Support the leadership team and their direct reports in the remediation of issues by providing help and, where applicable, articulate business case to request additional resources e.g. project budget, temporary resource.

  • Support the leadership team in the documentation of risk acceptances and manage their renewal or closure thereafter.

  • Review and provide comments/challenges on the scope and findings of internal audits, risk deep dives and control testing reviews.

  • Act as overall Business Continuity Coordinator for the Investment Management department and support the Head of Business Continuity in the implementation of a comprehensive and effective business continuity management framework within the department.

Key Relationships

  • Chief Investment Officer

  • Global Head of Fixed Income

  • Co-Heads of Equities

  • Global Head of Fixed Income Trading

  • Global Head of Equities Trading

  • Global Head of Investment Services and team

  • Fund Management / Trading teams

  • Enterprise Risk and Compliance teams

  • Internal Audit team

  • Infrastructure teams e.g. IT, Operations etc.

Technical Skills and Qualifications

  • Maintain knowledge of regulatory developments pertaining directly to the investment function, as communicated by the SEC, FCA, ESFS/ESMA and ASIC.

  • Educated to degree level with relevant industry experience (10+ years).

  • Professional qualification preferred but not essential e.g. IMC, CFA, CISI.

  • Very good understanding of the financial services industry; asset management experience preferred.

  • Good understanding of risk management methodologies and techniques.

Competencies Required

  • Very good planning, analytical and problem solving skills.

  • Excellent stakeholder engagement skills and ability to effectively network, influence and maintain relationships.

  • Very good writing and verbal communication and ability to adapt delivery style to various audiences.

  • Pro-active and self-sufficient with ability to escalate where appropriate.

  • High standards of delivery and very good presentation skills.

  • Ability to explain and simplify complex concepts and methodologies.

  • Ability to be resilient and stay motivated under pressure or facing tight deadlines.

  • Ability to multi-task, prioritise and meet deadlines.

  • Willingness to continuously learn and develop oneself to maintain industry and technical knowledge.

  • Pragmatic, with a business oriented approach.

Ongoing competence in the role to be assessed by:

  • Annual Performance Appraisal

  • Completion of all assigned Compliance training

Compliance Requirements

At a minimum the role requires the individual to:

  • Place the interest of Janus Henderson’s Clients first and always act in accordance with TCF (Treating Customers Fairly) principles

  • Understand and comply with any federal, state, and foreign laws and regulations applicable for the role, and seeking the guidance of Compliance if this is unclear at any time

  • Understand and comply with all relevant Janus Henderson policies applicable for the role, and seeking the guidance of the relevant policy owner if this is unclear at any time.

The individual in the role is ultimately accountable for his/her own actions and is responsible for seeking further information on any or all of the above as necessary.

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.