Clifford Chance is one of the world's leading law firms, helping clients achieve their goals by combining the highest global standards with local expertise.
capital markets; corporate and M&A; finance and banking; real estate; tax; pensions and employment; litigation and dispute resolution.
Job Description
The role
The Compliance Manager provides advice and guidance to partners, lawyers and business professionals across the full spectrum of risk and compliance issues as set out below.
The Compliance Manager reports to the HIC and the designated OMP and works closely with the Chief Risk and Compliance Officer ("CR&CO"), General Manager, the Risk & Compliance team, other Compliance Managers and Officers in the global network; and relevant Business Professional function managers to ensure that the Firm meets its obligations in relation to the areas set out below.
The Compliance Manager is responsible for championing and leading the compliance function in the relevant office or country and being a trusted advisor to Partners, other fee earners and business professionals.
With in-depth knowledge of their the legal industry and the Firm's priorities, as well as being expert in business support processes, the Compliance Manager will confidently manage and own the compliance program locally.
The Compliance Manager is expected to form and develop excellent working relationships with their OMP, General Manager and other key stakeholders.
The Compliance Manager takes primary responsibility for the compliance function within the office or country.The Compliance Managers may from time to time be expected to take on additional responsibility and those with country responsibility may be involved in leading regional initiatives.
Key ResponsibilitiesThe Compliance Manager's key responsibilities include the following:
With the OMP, lead the promotion and monitoring of compliance locally, taking into account the compliance objectives set by the CR&CO.
Leading local office efforts to create awareness of Clifford Chance global policies and procedures and provide compliance advice and guidance to partners, lawyers and business professionals
This includes:
Participating in the creation of new global policies and actively promoting awareness of and compliance with new global policies in the local office.
Where applicable, designing local policies that align with global policies and liaising with the HIC on any differences in local policies that may be required.
Identifying and analysing incidences of non-compliance and implementing rectification measures.Proactively identify and assess key regulatory and compliance risks of the local office.
Together with the HIC:
Implement, operate and develop the compliance management system for the Tokyo office, taking into account specific local requirements and legislation;
Identify compliance objectives for the Tokyo office;
Monitor the development and implementation of mandatory risk and compliance training programmes;
Develop and/or implement new standardised compliance processes, rules and regulations;
Develop and implement an effective system for communicating compliance topics; and
Develop a compliance culture and raise awareness of compliance issues and the Clifford Chance Compliance Policy.
Regularly report to the OMP and HIC on regulatory and compliance matters that may arise.
In relation to our gifts and hospitality policy:
Advise the team in the Tokyo office on queries relating to gifts and hospitality.
Be an advisor to the central compliance team on gifts and hospitality requiring central compliance approval in relation to any local restrictions or specific local concerns.
Proactively monitor local regulatory changes which may have an impact on the operations of the Firm and existing policies and procedures and advise the OMP and central compliance function of any such changes and their impact potentially on the firm.
Other responsibilities that may be described in the Clifford Chance Compliance Policy from time to time or which may be ancillary to the responsibilities described above.
Reporting Obligations
Report promptly to the OMP and the HIC (and CR&CO where appropriate) on serious compliance violations in their respective country.
Report every six months to the HIC on compliance activities and compliance violations in their respective country.
Report annually to the HIC on the assessment of any compliance risks which could lead to compliance violations or otherwise impair compliance objectives in their respective country.
QualificationsYour experience
The successful candidate should meet the following criteria and have no less than 6 years prior working experience:
Previous experience as a Compliance professional or other experience relevant to the role and its key responsibilities.
Ability to work with a wide range of stakeholders.
Good understanding of local bar regulations and law firms.
Good understanding of local anti-money laundering, anti-bribery, data privacy and insider trading regulations.
Experience in implementing internal policies and controls in relation to the above.
Experience delivering compliance-related training.
Professional compliance qualification will be considered favourably.
Legal qualifications, particularly in the practice of Japanese law will be considered favourably.
Ability to carry out responsibilities independently and take a leadership role.
Japanese language proficiency preferred but not required
Additional Information
Depending on the needs of the office, the Compliance Officer may be expected to take on the following responsibilities (with training if needed):
Anti-money laundering
Support the MLRO in the discharge of his duties including, for example, providing support on Suspicious Transaction Reports (including liaising with the global team) and completion of annual MLRO report.
Act as the Data Protection Officer for local entities
Act as the local Data Privacy Contact ("DPC") under the Firm's Data Privacy policy, taking responsibility for Data Privacy issues arising in [jurisdiction], including ensuring strict compliance with Data Privacy regulations, co-ordinating the annual Data Privacy registration process where applicable and stimulate and promote awareness of the Firm's data privacy policy.
Take responsibility for Data Privacy issues arising in Japan including ensuring strict compliance with Data Privacy regulations.Co-ordinate the annual Data Privacy registration process where applicable and stimulate and promote awareness of the Firm's data privacy policy.
Working closely with the central compliance team, assist with the implementation of any global policies and processes in the context of extraterritorial data privacy regulations such as GDPR.
Contracts
Review and assist with engagement letters, supplier contracts and other agreements and documents to be entered into by the Firm.
Prepare and review draft audit letters before signature partner.
Regularly review and update template audit letters.
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