Janus Henderson Investors Compliance Senior Manager in Luxembourg
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: Compliance Senior Manager
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 innovative 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.
Janus Henderson is a truly global asset manager with US$370.8bn1 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.
As part of our European business strategy, we are significantly building our presence in Luxembourg to locally support our Luxembourg fund ranges.
1 Janus Henderson pro-forma AUM as at 31 March 2018
The European Compliance team comprises approximately 40 employees who oversee all of Janus Henderson’s business activities in UK, Europe and South America. The department works closely alongside teams in Denver and throughout Asia including significant collaboration and joint use of systems and policies.
The mission of the Compliance Department is to promote and encourage adherence to the regulatory obligations and rules to which Janus Henderson management and staff are subject. The aim is to assist the group in developing a culture where its business is conducted within both the letter and spirit of the applicable laws and regulations in the interests of our customers and to minimize the risk of reputational damage or regulatory sanction. In achieving these objectives we will manage relationships with our regulators, provide advice and guidance to our business partners, monitor the activities performed by the group and provide training when required.
Specific departmental functions are:
Providing training on regulatory issues;
Monitoring, assessing and reporting on business conduct and adherence to applicable regulations;
Advising on the continual development of appropriate procedures to manage and mitigate regulatory risk; and,
Managing our external relationship with regulators.
Overview of the Role
This role will lead compliance advisory support in Luxembourg, as well as undertaking the MLRO role in Luxembourg.
This role is located in our Luxembourg office, and will form a core part of the local team which includes a number of product, distribution, operations, risk and compliance professionals. The compliance function will have a matrix reporting line to the Head of Compliance in Europe. The role will focus on our Luxembourg and Irish fund ranges. The role will offer the opportunity to be involved in major corporate projects as well as local operations.
Duties and Responsibilities
Lead the provision of advice and guidance to the business in Luxembourg on technical compliance queries as they arise
Issue and present reports on compliance findings, analysis and recommendations as appropriate, including to the DPs (CP86) and Conducting Officers
Support the business in Luxembourg to understand the key risks and controls
Work with the global compliance function on firm-wide initiatives/programmes, such as investment guidelines, trade surveillance and PA Dealing
Oversee compliance with policies (including the personal code of ethics) in Luxembourg
Develop and implement framework for compliance oversight of the branches to reflect enhanced role of the management company in Luxembourg post-Brexit
Designated MLRO in Luxembourg
Ensuring appropriate anti money laundering procedures and policies are in place, and provide staff training on them
Monitor against policies, provide risk assessment and reporting
Develop assessment of financial crime risks as they relate to the relevant fund ranges
Monitor, assess and address local AML regulations, including tracking new regulatory developments
Support the Global MLRO on projects and information requests as required
- One Compliance Associate
Technical Skills and Qualifications
Good working knowledge of asset management
Detailed knowledge of applicable UCITS regulation and local regulatory environment
Detailed knowledge of anti-money laundering rules and regulations
Sound knowledge of other CSSF and CBI regulatory requirements and principles
Good IT skills, including PowerPoint, Excel
Excellent communication skills, both written and oral, with the ability to communicate effectively at all levels
Ability to build and maintain relationships internally and externally
Good planning, organizational and prioritization skills, and ability to assist team members with this as necessary
Ability to meet tight deadlines and work in a pressurized environment
Ongoing competence in the role to be assessed by:
Annual Performance Appraisal
Completion of all assigned Compliance trainingCompliance RequirementsAt 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.