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

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.

• 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

• 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

• FINRA SIE, Series 7, and 24 registrations required
• 10+ years of experience in financial…