What are the responsibilities and job description for the Head of Distribution Compliance (US), CCO of Broker Dealer position at Janus Henderson?
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
1. US Distribution Compliance:
- Oversee the compliance of distribution activities for all asset classes and vehicles – equity/fixed/alternative for Mutual Funds, ETFs, CITs, Private Funds, or SMAs for institutional, intermediary and retail clients.
- Ensure all distribution channels operate within legal and regulatory guidelines, including retail, institutional, and private placement distributions.
- Provide timely, creative, clear, and thoughtful guidance to other departments (primarily sales, product, strategy, and marketing) and team members on distribution and advertising compliance matters.
- Proactively identify and assess compliance risks, providing guidance on mitigating such risks across all U.S. distribution channels.
- Develop, implement, and maintain a Compliance framework that aligns with regulatory expectations and business objectives.
- Ensure effective implementation of policies and procedures to safeguard the firm against potential legal and regulatory violations.
- Develop and deliver training programs related to distribution compliance, ensuring that all personnel are well-versed in applicable laws and internal policies.
- Serve as a key member of the U.S. Compliance Leadership team collaborating on strategy, risk management, and departmental/firmwide projects.
2. Chief Compliance Officer (CCO) of Limited Purpose Broker-Dealer:
- Serve as the primary Compliance Officer for the firm’s limited purpose broker-dealer, managing all aspects of the compliance program.
- Act as a key liaison between the firm and regulatory bodies such as FINRA, SEC, and other self-regulatory organizations such as the NFA in relation to distribution activities.
- Develop and implement policies, procedures, and controls that effectively mitigate risks related to the firm’s business operations.
- Monitor changes in relevant laws, regulations, and industry best practices, ensuring the firm remains compliant with all relevant legal requirements.
- Participate in internal compliance assessments, identifying potential vulnerabilities and implementing corrective actions as needed.
- Collaborate with senior management to develop and maintain a robust compliance culture throughout the firm.
- Manage or oversee regulatory filings and ensure timely responses to regulatory inquiries, inspections, and examinations.
3. Leadership and Reporting:
- Lead and mentor the U.S. Distribution Compliance team, setting clear objectives and fostering a culture of accountability.
- Provide regular updates to senior leadership and Fund Boards on compliance status, regulatory developments, and emerging risks.
- Prepare and present compliance reports and documentation to internal stakeholders.
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 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
- Bachelor’s degree in finance, Business, Economics, legal studies, or a related field required.
- FINRA SIE, Series 7 and 24 registrations required.
- Fifteen (15) years of related work experience in Compliance required supporting sales and marketing of investment company/investment advisory products and services across North America.
- Ability to work independently and make decisions in a fast-paced and evolving regulatory landscape.
- Strong leadership and managerial skills with the ability to build and lead a high-performing Compliance team.
- Experience in developing and implementing Compliance frameworks, policies, and training programs.
- Ability to communicate complex Compliance concepts clearly and effectively to various stakeholders, including senior management, regulators, and staff.
- Strong analytical and problem-solving skills with the ability to navigate complex regulatory environments.
- Deep understanding of securities laws and regulations (including FINRA, SEC, and state regulations) as they pertain to distribution, sales practices, and broker-dealer operations.
Nice to have skills
- Advanced knowledge of technology platforms supporting Advertising Review and Supervisory Surveillance.
- J.D., MBA, advanced degree.
- Familiarity with GIPS and CFTC/NFA a plus.
Supervisory responsibilities
- Yes
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 $225,000 – 275,000. This range is estimated for this role. Actual pay may be different. This role will remain open until March 31, 2025.
#LI-SW1, #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).
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.
Salary : $225,000 - $275,000
