The jobholder must possess a high degree of enthusiasm and professionalism and be proactive in escalating issues.
Duties and Responsibilities
To support the Senior Compliance Manager in ensuring that the distribution business complies with all relevant rules and regulations.
To assist in embedding a culture of effective management of regulatory risk within the business.
To assist in ensuring that the Distribution business area (including Product) champion and embed a culture of treating customers fairly and client centricity in a client-led and client focused business.
To ensure that Compliance policies and procedures are updated to meet the needs of Janus Henderson's distribution teams and when regulatory changes arise.
To support and provide advice to global compliance teams on distribution and product matters.
Senior Compliance Manager, Distribution Compliance
Head of Distribution Compliance
Internal Audit and Operational Risk
Technical Skills and Qualifications
Experience of asset management compliance, with a focus on Distribution issues is essential.
Technical expertise: technical expertise in the key regulatory issues and rule areas impacting Janus Henderson Distribution is essential, including but not limited to:
Inducements and the Retail Distribution review
Retail product development and TCF
UCITS, AIFMD and MiFID II
Conflicts of Interest
Approved Persons Regime
Gifts & Entertainment
Teamwork: the ability to work with the team and internal and external stakeholders
Communication: Strong communication skills
Problem solving: ensuring complex regulation and its impact are communicated effectively ensuring practical and efficient advice if provided.
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.