Job description
Why work for us?
Janus Henderson is a leading global active asset manager. We exist to help our clients achieve their long-term financial goals. Our team exemplifies our values of putting clients first, acting like owners and succeeding as a team. Our culture is high-energy, collaborative, and forward-thinking with opportunities to grow in an exciting career. We invite you to consider joining our dynamic, global team!
Our culture is the foundation for how we interact with clients and one another as part of our unique, people-focused work environment. We support a flexible hybrid working model that allows teams to build a strong and positive culture by inspiring innovation and increasing collaboration. Currently our hybrid working model allows employees to work 3 or more days in office and the remaining time remotely.
Employees and Managers will discuss and determine what schedule works best for them and the team, with additional flexibility available based on the role, business needs, and individual circumstances. JHI Workplace Practices is subject to change as the future of work within our organization evolves.
Your opportunity
- Support and grow Janus Henderson’s US Direct Business Channel through thoughtful compliance guidance and oversight of both self-directed and advice-related shareholder servicing in partnership with Janus Henderson Services US (“the Transfer Agency”)
- Serve as a liaison and trusted partner to Transfer Agency employees, providing ongoing analysis and support to ensure compliance with FINRA rules, SEC regulations, various state regulations, and applicable Janus Henderson policies/procedures
- Provide assistance to auditors and regulators in response to scheduled and impromptu regulatory inquiries and examinations, as well as internal audits or monitoring reviews
- Aid in training of Transfer Agency staff/management where necessary
- Review and advise Transfer Agency employees on how to manage situations involving complicated documents or issues
- Assist the Abandoned Property Administrator in fulfilling the requirements of multi-state Unclaimed Property rules
- Advise on standard processes and internal policies verbally and in writing with internal and external clients to mitigate risks to shareholders and the firm through the execution of forensic and transactional testing
- Examining and investigating account activity to detect excessive/short-term trading activity
- Review of written customer complaints and compiling any associated reporting to FINRA
- Review targeted shareholder communications, forms, website verbiage, and disclosure language for the U.S. Direct business
- Collaborate with the staff and management of the Legal Department, the US Financial Crime team, and other areas of Compliance
- Contribute ideas for automation and process improvements
- 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
- Discounted 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
- FINRA SIE and Series 6 licensed (must be obtained within 3 months of hire or promotion to position)
- 3 – 5 years mutual fund or financial services industry experience
- Excellent interpersonal skills and a dedication to providing world class customer service
- Excellent written and verbal skills
- Ability to think critically and look at all aspects and potential solutions to a situation or problem
- Ability to adapt to investor communication style while servicing our diverse client base
- Strong willingness to learn, ask questions and participate in a high-paced team setting
- Must have a high degree of self-motivation and ability to be self-sufficient in utilizing available resources
- Attention to detail and ability to exercise discretion and judgment in helping investors and internal clients by applying our processes, policies, and procedures
- Intermediate knowledge of Microsoft Word & Excel
- Ability to manage an issue or process, from start to resolution, and to demonstrate beneficial results
Nice to have skills
- Outbound call center or external financial product selling experience
Potential for growth
- Mentoring
- Leadership development programs
- Regular training
- Career development services
- Continuing education courses
Compensation information
The base salary range for this position is $75,000 - $85,000. This range is estimated for this role. Actual pay may be different.
#LI-CM1, #LI-Hybrid
Annual Bonus Opportunity: Position is 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.
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.
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).
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