Distribution Compliance Specialist

2 weeks ago

London, Greater London, United Kingdom Janus Henderson Full time
About the Role

We are seeking a highly skilled Distribution Compliance Manager to join our team at Janus Henderson. As a key member of our compliance function, you will play a critical role in ensuring that our distribution activities are conducted in accordance with relevant rules and regulations.

Key Responsibilities
  1. Provide compliance advice and oversight on all distribution-related activities, including product distribution, distribution advisory, and distributor due diligence.
  2. Support the Senior Compliance Manager and Head of Product and Distribution Compliance in ensuring compliance with relevant rules and regulations, with a special focus on German-speaking jurisdictions.
  3. Assist colleagues in providing cross-functional compliance coverage to ensure continuity of support to business areas.
  4. Be proactive in ensuring that the business receives relevant training on regulatory issues, including the application of compliance policies.
  5. Assist in embedding a culture of effective management of regulatory risk within the business.
  6. Keep abreast of new regulatory developments and rules, assess their impact on Janus Henderson Investors, and assist in ensuring appropriate action is taken, with a special focus on German-speaking jurisdictions.
  7. Assist in ensuring that the Distribution business areas champion and embed a culture of treating customers fairly and client centricity in a client-led and client-focused business.
  8. Assist with the review and update of policies and procedures as required to meet the needs of Janus Henderson Investors distribution teams and continued regulatory compliance.
  9. Review Financial Promotions to ensure compliance with laws and regulations in the EMEA, USO, and LatAm region, with a special focus on German-speaking jurisdictions.
Requirements
  1. Technical expertise in key regulatory issues and rule areas impacting JHI Distribution, including systems and controls rules, conflicts of interest, financial promotions and private placement rules, inducements, TCF, UCITS and AIFMD, cross-border distribution, and SFDR.
  2. Teamwork: the ability to work in multiple teams and leverage internal and external networks.
  3. Strong communication skills: required to represent compliance to internal and external stakeholders.
  4. Change management: to anticipate regulator changes or business changes having regulatory impact and to communicate issues and remedial plans to the business.
  5. Fluent in German and English (written and oral).
What We Offer
  1. Hybrid working and reasonable accommodations.
  2. Generous Holiday policies.
  3. Excellent Health and Wellbeing benefits, including corporate membership to ClassPass.
  4. Paid volunteer time to step away from your desk and into the community.
  5. Support to grow through professional development courses, tuition/qualification reimbursement, and more.
  6. All-inclusive approach to Diversity, Equity, and Inclusion.
  7. Maternal/paternal leave benefits and family services.
  8. Complimentary subscription to Headspace - the mindfulness app.
  9. All employee events, including networking opportunities and social activities.
  10. Lunch allowance for use within our subsidized onsite canteen.

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