Compliance Manager (6mths FTC)

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

• Advise and partner with the business to ensure they receive timely, appropriate advice.
• Advise on, and approve, marketing materials for the Asia region
• To support and advise the Asia Distribution and Marketing teams on new and existing distribution matters as required.
• Provide effective assurance that all Asia sales and marketing activity is performed in line with relevant rules and regulations.
• To proactively arrange and deliver training to colleagues on regulatory requirements which may impact marketing and distribution activities in Asia.
• To oversee that Compliance policies and procedures are updated to meet the business and regulatory requirements.
• Stay up to date with regulatory developments and ensure implementation of the regulatory changes by the business and in conjunction with global Regulatory Development team.
• Review compliance breaches and risk events to ensure they are appropriately documented and remediated.
• Execute and deliver assurance activities such as compliance monitoring and testing, audits and inspections.
• Collaborate with the R&C teams in Asia Pacific and other teams globally as required.
• Prepare and deliver board packs and compliance reporting for local boards and/or committees.
• Manage and develop junior compliance staff
• Carry out other duties as assigned
  
  

What to expect when you join our firm

• Hybrid working and reasonable accommodations
• 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
• Complimentary subscription to Headspace – the mindfulness app
• Corporate membership to ClassPass and other health and well-being benefits
• All employee events including networking opportunities and social activities
  
  

Must have skills

• At least 10 years of compliance experience within the funds management industry in HK.
• Good understanding of key regulatory issues and rules impacting sales, marketing and cross-border distribution in Asia across wholesale and institutional channels.
• Work independently and be proactive.
• Be a team player with a flexible, results driven and growth mindset.
• Have strong relationship building and communication skills to represent R&C to internal and external stakeholders.
• Take a flexible approach to work requirements as required, particularly with collaboration across global time zones.
• Be fluent in English.
  
  

Nice to have skills

• Fluency in spoken and written Chinese.
• Degree qualified and industry qualifications are advantageous.
• Good understanding of regional and global regulatory regimes.
• Attitude to continuous improvement and change.
• Enjoy fostering an inclusive culture and value diverse perspectives.
  
  

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 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 [email protected] .

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.