Head of Distribution Compliance, NA

Job Purpose:

  • To lead and be a part of three distinct areas, Advertising Review, Sales Practice Oversight, and the ETP business, and is responsible for ensuring compliant communications with our clients, shareholders, and prospective investors and appropriate supervision of our distribution practices.
  • You will work with various business areas focusing on operational risks associated with exchange traded products (ETPs).
  • You will use their leadership experience, understanding of the regulations, relationship building capabilities and tech-savvy ideas, to provide timely regulatory compliance advice and creative guidance to sales, consultant/client relations, product, and others related to the distribution and sale of our fund and advisory products and services, and guidance to marketing, sales, business development, investments and others related to external communications about our products, services and highly recognizable brand in print and digital form.
  • You will be responsible for keeping current policies and/or written supervisory procedures related to our advertising and social media practices, Broker/Dealer (“BD”) and Commodity Pool Operator/Commodity Trading Advisor (“CPO/CTA”) and ETP business; overseeing the intermediary oversight program, licensing and registration, continuing education plan development and implementation; ensuring risk-based practices for supervision of correspondence, new account take-on approvals, procurement lobbying; and other functions related to our BD and CPO/CTA.
  • To be able to perform optimally, you must have a strong working knowledge of FINRA and SEC regulations (’33, ’34 & ’40 Acts) and securities practices as well as the Global Investment Performance Standards (GIPS®) and CFTC/NFA rules.

Your Responsibilities:

  • Maintain a world-class and well-respected sales oversight/advertising review function/team.
  • Collaborate with internal partners. You will be exceptional at developing and nurturing professional relationships with your team members and internal business partners.
  • Provide timely, creative, clear, and thoughtful guidance to other departments (primarily sales, product, the Darien based ETP team, and marketing) and team members on distribution and advertising compliance matters (communications with the public, cash/non-cash, licensing/registration, lobbying inquiries, etc.). You will be skillful at identifying and proactively resolving issues.
  • Stay abreast of changing regulations impacting our business. Be a change agent in optimizing, implementing, and continuously evolving best-in-class review processes, policies, and procedures.
  • Oversee Janus Distributors LLC regulatory obligations, including but not limited to OSJ/Branch Office Inspections, Form BD updates, membership changes, policy oversight, and risk oversight.
  • Oversee JCM’s CFTC/NFA related regulatory filings/updates, Branch inspections, and policy management.
  • Ensure Janus meets obligations and filings associated with the DOL, including the soon to be implemented Fiduciary Rule.
  • Focus on risks relating the the ETP business, enhancing controls/developing risk-based testing and monitoring, and provide reporting to the Risk organization.
  • Provide analysis or assistance to the CRO with regard to risk-related projects and/or assessments.
  • Ensure ETP policies and procedures are maintained, provide oversight of the exemptive order requirements, participate or monitor the index committee (i.e. assist with producing minutes, etc.), monitor ETF trade activities, provide support to APs if problems arise, provide assistance in responding/communicating with regulators concerning routine ETP questions, and assist in the oversight of the ETFs key service providers.
  • Oversight of Compliance related ERISA issues.
  • Proactively pursue professional development.
  • Carry out additional duties as assigned.

Skills and Qualifications:

  • significant emphasis on the sales and marketing of investment company/investment advisory products and services.
  • Five+ years of supervisory experience preferred, with proven ability to manage a team, internal client relationships and projects.
  • Compelling and effective at communicating, designing and presenting relevant training to sales, marketing and product, and building consensus on compliance issues across all levels within the organization.
  • Strong management and team development abilities.
  • Excellent interpersonal, written and verbal communication skills.
  • Proven in-depth knowledge and understanding of applicable SEC, FINRA, CFTC/NFA regulations for investment companies (mutual funds, exchange traded funds, private funds, closed end funds) and investment advisors; familiarity with GIPS a plus.
  • Outstanding time management, organizational and follow-up skills to effectively plan and take tasks to completion within specified time frames. Ability to manage multiple tasks simultaneously, maintain focus and develop prioritization system to provide exceptional service levels in a dynamic environment.
  • Scrupulous attention to detail and accuracy.
  • Ability to master multiple systems/portals for Ad Review, Intermediary Oversight, Email Survelience, manage automated workflows, and produce reports.
  • Proven leader in influencing other departments and teams (i.e. sales, marketing, product management, public relations, etc.) to support the development and/or execution of Compliance initiatives.
  • Place the interest of Janus Henderson’s Clients first, act in accordance with TCF (Treating Customers Fairly) principles
  • Understand and follow laws and regulations applicable for your role, seeking the help of your supervising manager or Compliance if additional guidance is required
  • Understand and abide by all Janus Henderson policies applicable to your role, and seek support/guidance of the policy owner guidance when required
  • You are ultimately accountable for your actions and responsible for seeking further information on any or all of the above as necessary.

Source: for more information click here.

More Information

  • Experience 5-7 Years
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Company Information
  • Address 151 Detroit St, Denver, CO 80206, United States
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