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 + Contribute to the market abuse and compliance risk assessment and development of tests/ controls/ risk-based monitoring to address risks. + Engage with relevant stakeholders and partners, including Risk & Compliance, Internal Audit, Legal, and Investments to ensure there is appropriate understanding of the business and applicable risks and to ensure there is a collaborative approach to delivering reviews of business activities. + Execute and when required, oversee the execution and timely delivery of thematic reviews and regular testing in the plan. + Track and validate agreed upon management actions. + Oversee the timely and thorough investigation process of trade and communication surveillance alerts, on request. + Regularly communicate progress and timely escalation of material findings to the Global Head of Compliance Monitoring and Surveillance. + Produce ongoing reporting and management information on progress and findings to stakeholders and relevant governance forums, on request. + Carry out other 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 + 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 Must have skills + Trade Surveillance, compliance, risk or internal audit related experience within an Asset Management Firm or other financial services institution. + Understanding of applicable US regulations and the assessment of the varying levels of compliance risk + Excellent interpersonal and stakeholder management skills + Strong verbal and written communication skills + In-depth understanding and application of regulatory agencies rules and regulations + Advanced knowledge of the investment management industry, fund management businesses and associated operating policies. + Excellent analytical skills and attention to detail Nice to have skills + Coding and data analysis skills + Knowledge of global regulations + Relevant Professional qualifications (e.g. compliance, audit, Investment management) 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 recruiter@janushenderson.com Compensation information The base salary range for this position is $100,000 - $120,000. This range is estimated for this role. Actual pay may be different. This role will remain open through November 15, 2024. Colorado law requires an estimated closing date for job postings. Please don't be discouraged from applying if you see this date has passed. 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). All applicants must be willing to comply with the provisions of Janus Henderson 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 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.