Senior Analyst, AML Operations
We are a leading independent global asset manager, dedicated to delivering the best outcomes for our clients through a highly diversified range of actively-managed products. We are truly global, supporting our individual and institutional investors across a range of products, encompassing equities, fixed income, multi-asset and alternatives. We build client trust by being dependably excellent in all things, and we put the client at the heart of everything we do. Our high-energy and collaborative culture at Janus Henderson helps our client achieve their goals and ensures that our people love the place they work.
Janus Henderson operates an outsourced model in partnership with our Third-Party Administrators (TPA). The primary focus of the Operations team is the oversight and management of the TPAs as well as supporting internal clients (for example the Distribution and Investment teams). Operations also support numerous projects and operational changes to maintain best practice operational processes.
Overview of the role
This Singapore based role is part of the AML Operations team that is responsible for the day to day operational aspects of Financial Crime Prevention (“FCP”) activities, primarily:
- the establishment of JHI’s Financial Crime Risk Assessment (“FCRA”) process for Distributors and Intermediaries.
- the application of the firms’ anti-money laundering policy to operational transfer agency processes which will include oversight of outsourced functions to third party administrators
As part of a global team, you will support key areas of our financial crime and Distribution business management function. You will work alongside a number of product, distribution, operations, risk and compliance professionals and be empowered to interact directly with clients on FCP matters. You will manage these clients and stakeholders with support from your team, manager and regional Operations Management. As well as collaborating with your FCP colleagues to support the global FCP model, your focus will be on the Asia Pacific region, the Luxembourg, Irish and Australian fund ranges distributed therein and our institutional client base. You will have the opportunity to be involved in projects and lead the local implementation of FCP projects and initiatives.
You will be influential in meeting our corporate guiding principle of putting our clients at the heart of everything we do as well as ensuring we meet regulatory responsibilities whilst striving to continually evolve and improve our operational FCP model.
Duties and responsibilities
Distributor Due Diligence
- Carry out the day to day process for issuing and chasing FCRA questionnaires, including an initial roll-out to 900+ third parties
- Assisting with the initial assessment of distributors and intermediaries, and liaising with the Financial Crime team as appropriate.
- Ongoing screening of distributors and intermediaries as appropriate.
- Assisting with the assessment of the distributor/intermediary risk rating and recommendation to upgrade if appropriate.
- Prepare all necessary papers for submitting higher risk distributors / intermediaries for approval by senior management
- Completing FCRA on distributors and intermediaries based on completed questionnaires
Operational Financial Crime Prevention Activities
- Assist with investor screening activities (sanctions, PEPs, adverse media), some of which are outsourced to third party administrators
- Be actively involved in investor due diligence activities, some of which might manifest through client onboarding or as re-Identification projects – primarily – led by our third-party administrators
- Undertake transaction monitoring activities including reporting and internal escalation
- Assist with the implementation of operational change related to financial crime prevention which could be generated internally, by our third-party administrators and also by regulatory / industry change
- Build direct relationships with our transfer agencies, distributors / intermediaries, and with sales, financial crime compliance teams and legal teams within Janus Henderson.
- Develop and support additional FCRA responsibilities (extended regulation or further jurisdictional requirements) as required
- Continuously seek to identify operational efficiencies in the team’s processes.
- Carry out additional duties as assigned.
- Report to the Manager of the AML Operations team
- In-region reporting to Senior Operations Manager, Asia
- Support and execute the Financial Crime Operations processes/procedures, systems and controls
- Support on-going and future Distribution change projects as required.
- Carry out additional duties as assigned.
Technical skills and qualifications
- Strong knowledge of financial crime (e.g. due diligence, screening, KYC)
- Good working knowledge of investment funds and products and their distribution (UCITs
- Good IT skills, including PowerPoint, Excel and database used for analysis and reporting purposes
- Fluency in English. Mandarin and/or Cantonese language proficiency will be a plus as the role includes coverage of Greater China markets.
In addition to putting clients first, acting like an owner, and succeeding as a team, the competencies for this role include:
- Strong analytical skills and attention to detail
- Highly organised
- Ability to prioritize and manage multiple tasks simultaneously
- Ability to work independently, under pressure and to tight deadlines
- Good communication skills, both verbal and written, and the ability to liaise with senior management, peers and other team members
- Committed team player
- Prepared to work hard and will enjoy the challenges of a fast moving and changing environment
Ongoing competence in the role to be assessed, in line with applicable regulatory requirements, by:
- Annual performance appraisal
- Completion of all assigned compliance training
At a minimum the role will require you to:
- 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.
We are an equal opportunity / affirmative action employer. All applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability or veteran status.