I am placing this for someone who is not on the list.  Please contact them for details and further information.  Thanks!

Background Information:  The position is in Denver.  The salary range is 90 to 110K, but it is understood that well experienced candidates will be considered.  The position includes a comprehensive relocation package and an outstanding benefits package.

Contact Harald Dulberg, (Executive Recruiter) VP, Financial Services
Management Advisors International at 704.971.2810 or [log in to unmask]  and at 800.949.6315, ext. 3010.



JOB DESCRIPTION

JOB TITLE: Compliance Manager   COMMON TITLE:  Records Manager

DEPARTMENT:  Compliance REVISED DATE:

REPORTS TO: AVP Compliance      LOCATION: (COST CENTER)

JOB SUMMARY:
Responsible for developing, implementing and managing day-to-day oversight for Records Management Compliance Program ("RMCP") to ensure compliance with state and federal laws and regulations, and internal records standards.  This includes compliance with SEC investment adviser, investment company, broker/dealer and transfer agency rules, NASD rules, and Sarbanes-Oxley and AIMR requirements.

ESSENTIAL FUNCTIONS:

*       Responsible for communicating and educating cross-departmental and/or enterprise-wide business units on their records keeping requirements.
*       Responsible for creating and maintaining the centralized file room for the Litigation, Compliance, Labor and Employment, Intellectual Property, and business unit groups.  Serves as the primary resource for all company records.
*       Responsible for maintaining a visible role with business unit groups as a knowledgeable resource, problem- solver and to provide guidance and assist in answering records-related questions and resolving records-related issues as they arise within the business day-to-day.
*       Assists with the strategic direction.
*       Develops, coordinates and administers policies and procedures.
*       Works with Legal Counsel to determine appropriate legal record retention requirements based on applicable laws and business needs.
*       Partners with Information Technology, Business Continuation Planning, and all other relevant groups to ensure that the RIM program is accomplishing its objectives and meeting the needs of Janus and business units.
*       Works with organizational department personnel to determine the most viable solutions to records issues encountered; i.e., filing systems, record migrations, implementation of new technologies, etc.
*       Works with organizational departmental personnel in the: (a) identification of vital records, (b) recommendation of proper procedures/equipment for protection in the office environment, and (d) establishment of rotation procedures, both for in-house and off-site storage.
*       Conducts research, evaluation, and recommendation of records/information systems.  Reviews current records methods in departments and recommends where improvement can be made or compliance must be met.
*       Develops process for auditing business units to ensure appropratie records are maintained according requirements
*       Maintains form-wide records inventories, retention schedules, records migration, and vital records protection.
*       Responsible for the evaluation, organization and retention oversight for active and inactive records/information systems, vital records, and electronic records including electronic records management systems or electronic document management systems.


OTHER FUNCTIONS:
*       Directly manages applicable personnel.
*       Establishes appropriate quality and productivity standards and ensures that those standards are met and/or exceeded.
*       Actively manages, facilitates and/or participates in relevant meetings, committees and presentations.
*       Assumes additional responsibilities as required.


JOB QUALIFICATIONS

KNOWLEDGE, SKILLS & ABILITIES:
*       Excellent organization and planning skills.
*       Excellent interpersonal and communication skills.  Ability to interact comfortably and effectively with associates, vendors, and all levels of internal customers.
*       Ability to perceive and analyze problems, plan and develop alternatives and effect innovative solutions.
*       Project management credentials (ability to define, outline and manage projects across cross-departmental, enterprise-wide business units and/or regions to successful completion)
*       Ability to work independently with little or no supervision.

EXPERIENCE:
*       Seven years in the mutual fund/financial services industry
*       Five years with an emphasis in compliance records management/retention
*       Must have experience in large-scale document review projects, preferably in a management role
*       Control background (training in compliance, risk-management, legal or internal audit a plus)

EDUCATION, TRAINING AND CERTIFICATIONS:
*       Bachelors' degree in business or technical field

MATERIALS AND EQUIPMENT USED:
*       PC personal workstation
*       Pager and/or cellular telephone, as necessary
*       Basic office equipment such as telephone, copier, fax machines, etc.

WORKING ENVIRONMENT/PHYSICAL ACTIVITIES:
*       Ability to work under pressure and meet time deadlines
*       Overtime may be required and could include weekend/evening work and inter/intra-state travel on short notice
*       Must be able to lift boxes up to 35 pounds

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