Senior Associate Director, Distribution Compliance

About Our Company 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 Position Summary We are seeking a highly experienced, solutions‑oriented compliance professional to join our U.S. Distribution Compliance team as a Senior Associate Director. This role sits at the intersection of marketing compliance, advertising review, and governance, contributing to a scalable and modern compliance framework that supports business growth. You will serve as a trusted partner to the business, delivering practical, risk‑aligned guidance while playing a key role in enhancing workflows, strengthening governance standards, and supporting operational excellence across the marketing compliance function. This position is ideal for individuals who thrive in dynamic, high‑impact environments and are motivated to balance strategic thinking with hands‑on execution, consistent with leading industry practices. Responsibilities Review advertising and marketing materials across channels (print, digital, social, web, presentations, RFPs) in compliance with SEC, FINRA, CFTC requirements, and GIPS standards Review and advise on marketing communications related to product launches and product changes, ensuring disclosures, performance information, and positioning align with regulatory expectations Deliver timely, practical, and well‑reasoned guidance that enables business partners to market effectively within regulatory guardrails Draft clear, accurate, and defensible disclosures, maintaining high standards of transparency and consistency Support development and ongoing refinement of “Rules of the Road,” contributing to consistent and scalable review standards across Marketing, Distribution, Product, and Investments Contribute to workflow management and process optimization, including prioritization, quality control, and continuous improvement of review processes Support FINRA filing requirements, including preparation, submission, and maintenance of required records Lead and support process improvement initiatives, including workflow enhancements, documentation standards, and adoption of enabling technologies (e.g., Red Oak) Help implement technology‑driven solutions, including exploration of AI‑enabled review capabilities, in line with broader strategic priorities Build strong, collaborative partnerships with Marketing, Distribution, Product, Legal, and Compliance stakeholders—acting as a trusted advisor who anticipates needs and communicates with clarity and confidence Stay ahead of evolving regulations, interpret their impact, and translate requirements into actionable guidance Influence and support firm‑wide initiatives, working across business and control functions to embed compliance considerations early in the process Participate in and lead ad‑hoc and recurring projects across the Compliance function and broader organization Contribute to a culture of continuous improvement, operational excellence, and proactive risk management Carry out other duties as assigned Benefits Hybrid working and reasonable accommodations Generous holiday policies Excellent health and wellbeing benefits including corporate membership to Wellhub 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 and family services Unique employee events and programs including a 14er challenge Complimentary beverages, snacks and all employee Happy Hours Must Have Skills FINRA SIE, Series 7, and 24 registrations required 10+ years of experience in financial services, with significant focus on marketing/advertising compliance Deep knowledge of SEC, FINRA, CFTC regulations, including considerations related to CPO oversight Experience reviewing marketing materials across retail, intermediary, and institutional audiences Strong ability to manage multiple priorities and deliver high‑quality work in a fast‑paced environment Excellent written and verbal communication skills, with strong attention to detail Experience with workflow tools and compliance systems Nice to Have Skills Bachelor's degree or equivalent Experience reviewing institutional marketing, private funds, SMAs, or model portfolios Familiarity with global or multi‑jurisdictional compliance frameworks Experience with AI‑enabled compliance tools or automation initiatives Advanced knowledge of workflow governance or system configuration Supervisory Responsibilities No Career Development Mentoring Leadership development programs Regular training Career development services Continuing education courses Compensation and Bonus The base salary range for this position is $130,000 - $150,000. This range is estimated for this role. Actual pay may be different. This position will be open through August 31, 2026. Colorado law requires an estimated closing date for job postings. Please don't be discouraged from applying if you see this date has passed. 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. Equal Opportunity Employment 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. 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 View email address on click.appcast.io . Janus Henderson Investors is an equal opportunity 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. Regulatory Expectations 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. 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. #J-18808-Ljbffr Janus Henderson Global Investors