Compliance Manager

2 weeks ago

Singapore Janus Henderson Full time
Why work for us?

Janus Henderson is a leading global active asset manager. We exist to help our clients achieve their long-term financial goals. Our team exemplifies our values of putting clients first, acting like owners and succeeding as a team. Our culture is high-energy, collaborative, and forward-thinking with opportunities to grow in an exciting career. We invite you to consider joining our dynamic, global team


Our culture is the foundation for how we interact with clients and one another as part of our unique, people-focused work environment.

We support a flexible hybrid working model that allows teams to build a strong and positive culture by inspiring innovation and increasing collaboration.

Currently our hybrid working model allows employees to work 3 or more days in office and the remaining time remotely.

Your Opportunity


This role sits within the Asia Pacific Risk & Compliance (R&C) team led by the Head of Risk and Compliance, Asia Pacific based in Singapore.

The reporting line will be to the Head of Compliance, Asia Pacific ex-Japan based in Sydney.

The Asia Pacific R&C team comprises of 14 members who are responsible for the firm's business activities in the region which primarily includes investment management, investment advisory and sales and client servicing to non-retail investors.

Members of the Asia Pacific R&C team are based in Tokyo (1), Hong Kong (1), Singapore (7) and Sydney (5).

Globally, there are approximately 125 employees within the R&C department primarily in our London and Denver offices.

In this role, you will be required to:

  • Provide effective assurance that all Asia sales and marketing activity is performed in line with relevant rules and regulations.
  • Advise on, and approve, marketing materials for the Asia region.
  • To proactively arrange and deliver training to colleagues on regulatory requirements which may impact marketing and distribution activities in Asia.
  • To support and advise the Asia Distribution and Marketing teams on new and existing distribution matters as required.
  • To oversee that Compliance policies and procedures are updated to meet the needs of the Asia business and when regulatory change arise.
  • Monitor and manage regulatory developments in Asia relating to distribution related activities and ensure appropriate implementation.
  • Review compliance breaches and risk events to ensure they are appropriately documented and remediated.
  • Assist with assurance activities such as compliance monitoring and testing, audits and inspections.
  • Collaborate with the R&C teams in Asia Pacific and Distribution Compliance teams globally as required.
  • Carry out additional duties as assigned.
What to expect when you join our firm

  • Hybrid working environment of minimum 3 days in the office per week
  • Paid volunteer time to support the local community
  • Opportunities for personal and professional development
  • Allinclusive approach to Diversity, Equity and Inclusion
  • Parental leave benefits
  • Wellbeing benefits
  • Employee events including networking opportunities and social activities
Must have skills

  • At least 10 years of compliance experience within the funds management industry in Asia.
  • Strong understanding of key regulatory issues and rules impacting sales, marketing and crossborder 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

  • No
Potential for growth

  • Mentoring
  • Leadership development programs
  • Regular training
  • Career development services
  • Continuing education courses


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.

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