Caroline Barotti is Global Head Guideline Implementation and Oversight at Janus Henderson Investors, a position she has held since 2023. She is responsible for the investment management compliance (IMC), including implementation, testing, and oversight of regulatory compliance, investment restrictions, and company investment management policies. Caroline and her team manage the various compliance functions associated with the oversight and support of the Investment and Trading departments through the implementation of investment restrictions within Janus Henderson’s order management system and oversight of pre and post trade compliance exceptions. She reports to the Head of North America Compliance and Chief Compliance Officer. Caroline joined the firm in 2021 as the head of investment compliance North America. Prior to joining Janus Henderson, Caroline worked at Abrdn for seven years, most recently as head of investment control Americas from 2015. Earlier in her career, she held various investment compliance roles at T. Rowe Price over five years and operational roles at State Street and Vanguard.
Caroline received her Bachelor of Science degree in finance with honours from the University of Maryland. She has over 16 years of investment compliance experience and 20 years of financial industry experience.