Compliance Analyst (Trade Surveillance)
Join to apply for the Compliance Analyst (Trade Surveillance) role at Janus Henderson Investors.
Why work for us?
At Janus Henderson we help clients achieve superior financial outcomes through differentiated insights, disciplined investments, and world‑class service. We protect and grow our core business, amplify our strengths, and diversify where appropriate, guided by our core values: Clients Come First, Execution Supersedes Intention, Together We Win, Diversity Improves Results, and Truth Builds Trust.
Your opportunity
- You will be part of a team responsible for undertaking thematic reviews, regular testing and market abuse surveillance for the global business.
- Perform daily analysis of trade and communications alerts with a focus on market abuse.
- Perform targeted manual analysis on trading activity, including appropriate identification and investigation of emerging trends.
- Perform regular testing and thematic reviews in accordance with the compliance monitoring plan.
- Prepare management information as required.
- Liaise with key stakeholders to understand investment and trading strategies with respect to market abuse surveillance.
- Liaise with key stakeholders to understand business processes, communicate identified issues, and verify factual accuracy of issues with respect to regular testing and thematic reviews.
- Track and validate the agreed‑upon management actions.
- Escalate issues to Managers.
- Collaborate with individuals within the wider Risk and Compliance department and other control functions.
- Carry out other duties as assigned.
What to expect when you join our firm
- Hybrid working and reasonable accommodations
- Generous holiday policies
- Excellent health and wellbeing benefits, including corporate membership to ClassPass
- 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
- All employee events including networking opportunities and social activities
- Lunch allowance for use within our subsidised onsite canteen
Required skills
- Trade surveillance / monitoring related experience in financial services
- Knowledge of market abuse regulations
- Good IT skills, including PowerPoint, Excel, and Word
- Effective analytical skills and strong attention to detail
- Self‑starter and proactive
- Intellectual curiosity and aspiration to learn and develop
- Ability to communicate effectively
- Ability to work cohesively in a team
- Good planning, organisational and prioritisation skills
Preferred skills
- Knowledge of communication surveillance systems such as Global Relay (preferred)
- Knowledge of market abuse surveillance systems such as Nasdaq Compass, Trading Hub, LiquidMetrix, etc.
- Knowledge of data providers such as Bloomberg and Thomson Reuters
- Relevant professional qualifications (e.g. risk management, compliance, investment management, financial crime, legal, accountancy)
Other information
- Supervisory responsibilities: No
- 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 to your role.
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.
We’re committed to an inclusive and supportive environment. Diversity improves results and we welcome applications from all backgrounds. If you need any reasonable accommodations during our recruitment process, please let us know at recruiter@janushenderson.com.
Janus Henderson Investors is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, colour, 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 licences 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.
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