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Compliance Manager - SMA / Managed Accounts

Janus Henderson Investors

Denver, CO

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JOB DETAILS
SKILLS
Analysis Skills, Beverages, Business Growth, Business Model, Cadence, Career Counseling, Communication Skills, Diversity, Documentation, Fiduciary, Internal Audit, Intrusion Prevention Systems, Investment Management, Leadership, Maintain Compliance, Mentoring, Onboarding, Policy Implementation, Power Amplifier, Problem Solving Skills, Regulations, Regulatory Compliance, Regulatory Requirements, Risk, Securities, Staff Training, Trading Systems, Training/Teaching, Wealth Management
LOCATION
Denver, CO
POSTED
6 days ago






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







You will:









+ Review and monitor SMA portfolios for compliance with client ‑ specific and firmwide guidelines and restrictions.



+ Support pre ‑ trade and post ‑ trade compliance monitoring processes as well as provide compliance support to portfolio management and trading.



+ Investigate, document, and escalate guideline breaches and compliance exceptions.



+ Review and interpret Investment Management Agreements (IMAs), IPS documents, and client handbooks.



+ Assist with compliance related client onboarding processes and procedures.



+ Conduct periodic testing and compliance reviews in the SMA and Models business and present key trends and observations on a regular cadence.



+ Advise on new products, highlighting potential compliance issues.



+ Partner with the Head of SMA Development, Portfolio Management, Operations, Trading, and Technology to resolve compliance issues



+ Assist with regulatory exams, internal audits, and requests related to SMA programs



+ Develop, implement, and maintain policies, procedures, and processes to address key regulatory, compliance, and reputational risk areas for the SMA/Model business—liaising with compliance and legal teams across the organization—and support policy updates related to Rule 3a-4, the Advisers Act, fiduciary duties, best execution, and suitability standards for SMA/Model business.



+ Review and maintain external disclosures and content related to the SMA business.



+ Build and maintain relationships with senior management across the business and within Compliance globally.



+ Keep informed of regulatory changes impactful to the SMA/Model business, trends, and focus within the industry and assist with assessing impact to the firm, including the creation of, or enhancements to, compliance controls and oversight.



+ Provide periodic Compliance training to employees as needed.



+ Carry out additional 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



+ 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









Supervisory responsibilities









+ No









Potential for growth









+ Mentoring



+ Leadership development programs



+ Regular training



+ Career development services



+ Continuing education courses









Must have skills









+ At least 7 years of experience in investment management or advisory compliance



+ Direct experience with SMA structures, portfolio guidelines, or wealth management platforms preferred



+ Knowledge of Advisers Act of 1940, fiduciary standards, and custodian requirements



+ Understanding of current and proposed regulatory requirements impacting advisory services (e.g., SMAs) industry a plus.



+ Familiarity with trading/compliance systems (e.g., Archer, Charles River, Aladdin)



+ Strong documentation, analytical, and cross ‑ functional communication skills









Compensation information







The base salary range for this position is $100.000.00 - $125.000.00 This range is estimated for this role. Actual pay may be different. This position will be open through June 30, 2026.







Colorado law requires an estimated closing date for job postings. Please don't be discouraged from applying if you see this date has passed.







At Janus Henderson Investors we’re committed to an inclusive and supportive environment. We believe diversity improves results and we welcome applications from candidates 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 .



#LI-CH2 #LI-Hybrid


Annual Bonus Opportunity: Position may be eligible to receive an annual discretionary bonus award from the profit pool. The profit pool is funded based on Company profits. Individual bonuses are determined based on Company, department, team and individual performance.







Benefits: Janus Henderson is committed to offering a comprehensive total rewards package to eligible employees that includes; competitive compensation, pension/retirement plans, and various health, wellbeing and lifestyle benefits. To learn more about our offerings please visit the Why Join Us section on the career page here (https://www.janushenderson.com/careers/) .







Janus Henderson Investors is an equal opportunity 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.







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).







You should be willing to adhere to the provisions of our 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.







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.

About the Company

J

Janus Henderson Investors