With the general manager, lead the promotion and monitoring of compliance locally, taking into account the compliance objectives set by the chief risk & compliance office (`cr&co`)
Responsible for ensuring the compliance risk for the india office is within the defined acceptable levels as per the overall firm`s guidelines
Identifying and assessing key risks and ensuring that overall risks within the office are effectively identified and mitigated
Provide periodic, regular and accurate reports to the general manager on regulatory and compliance matters
Work closely with all business areas and support functions (internal audit, hr, ict, procurement and information security) on business controls awareness and trends
Provide continuous proactive advice, support and risk/compliance sign-off for all external contracts/engagements of the india office.
Maintain and update the compliance requirements for india office and keep abreast of global and regulatory changes
Implement the global compliance risk reporting at the office level
Conduct continuous compliance risk assessments, compliance status monitoring and gap analysis, including professional documentation
Lead local office efforts to create awareness of clifford chance global policies and procedures and provide compliance advice and guidance to partners, lawyers and business professionalsThis includes:
Participating in the creation of new global policies and actively promoting awareness of and compliance with new global policies in the local office.
Monitoring compliance with 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.
In relation to our gifts and hospitality policy:
Advise the team in [specify office(s)] 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 gm and central compliance function of any such changes and their impact potentially on the firm.
Design, develop and implement preventive monitoring mechanisms with respect to compliance objectives
Keeping abreast of regulatory changes, new regulations and internal policy changes in order to further identify new key risk areas
Achieve active collaboration with risk owners and stakeholders
Manage potential and actual issues at the office effectively, efficiently and legally reliable
Provide assistance to conduct special investigations or reviews as and when required
Ensure ongoing, effective risk communication and training of managers, employees, business partners and of other third parties
The compliance manager`s key responsibilities include the following:
To serve as primary point of contact for the firm`s risk & compliance team within the india office
To assist with or lead process improvements to improve the performance of services of the risk & compliance team
To contribute to and carry out global compliance projects within india, as and when required
Manage end-to-end service delivery from the india office
Manage the growth and success of the compliance teams in india, in areas of risk & compliance, data privacy, conflict clearance, client acceptance research, legal compliance, etc.
Communicate job expectations of the risk & compliance team based in india; planning, monitoring, appraising and reviewing job contributions
Plan, schedule, and review workload and manpower to make sure targets are being met on a cost-effective basis
Manage stakeholder relationships including providing relevant reports and holding regular meetings with stakeholders
Identify risks to service delivery success and drive activities to mitigate those risks
Proactively contribute to on-going development and process improvements
Coaching and developing team members, monitoring performance and initiating action to strengthen results
Conducting timely performance evaluations
Supporting the risk and compliance team in managing queries submitted through the firm`s compliance and legal platform, and ensuring these queries are assigned to the appropriate member of the team
Assisting with appropriate follow up on queries raised through the legal and compliance platform
Analyzing trends in queries and responses to assist with the compliance team with future planning.
Design, develop and implement preventive monitoring mechanisms with respect to compliance objectives.
Together with the hic:
Implement, operate and develop the compliance management system for the india office taking into account specific local requirements and legislation
Identify compliance objectives for the india offices
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 general manager and hic on regulatory and compliance matters that may arise.
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.
12+ years of experience at a multinational organisation with responsibilities to include managing legal, risk and compliance for the india entity
Working with the shared services division of a global professional services firm, handling global client and stakeholder interactions
Experience in establishing and managing compliance teams as part of shared services organisation
Communicating & influencing
Excellent written & verbal communication skills.
Ability to write proposals, risk reports with clear purpose and well-defined outcomes
Influencing and negotiation skills
Strong senior stakeholder management skills
Change management experience
Service & delivery excellence, along with continuous service improvement
Proven ability to solve problems in a methodical and practical way
The ability to gather and analyse information and to use the results of that analysis to make effective decisions and find innovative solutions to problems
The ability to advise on a range of issues and where necessary adapt skills to address emerging issues
Ability to articulate the challenges a business operation faces when consistent change is being delivered
Ability to understand, analyse, interpret and report on operational performance data
Ability to advise on a range of issues and where necessary adapt skills to address emerging issues
Ability to gather and analyse information and to use the results of that analysis to make effective decisions and find innovative solutions to problems
Ability to effect organisational change through innovation, as well as defined & documented processes
Self-starter, ability to work independently and at the same time as integral part of virtual teams
About the firm
Clifford chance is one of the world`s leading law firms, helping clients achieve their goals by combining the highest global standards with local expertiseThe firm has unrivalled scale and depth of legal resources across the three key markets of the americas, asia and europe and focuses on the core areas of commercial activity: capital markets; corporate and m&a; finance and banking; real estate; tax; pensions and employment; litigation and dispute resolution.
We are a purpose-driven business with core values at the heart of everything we do, we actively demonstrate what it means to do the right thing both internally and externallyWe want to create a space where everyone feels respected, included, valued and listened to and our values are demonstrated through our behaviorOur code of conduct is value based and embodies five principles – act with integrity, be inclusive, embrace challenge, speak up and act responsibly.
We offer you the opportunity to join a global law firm with one of the most pre-eminent legal practices in the worldWe have an established presence in india for more than ten years, delivering value and supporting clifford chance offices across the globe in the areas of information technology, finance, business research, legal support, document production, project management and continuous improvementWe have been certified as a `great place to work` in india for implementing people practices that foster collaboration and enable employees to reach their full potentialWe are proud of the colleagues who work for us and of the service that together we provide, many of whom are experts in their own sectorsJoin us and you will experience, first-hand, the one firm, one team approach that makes working at clifford chance so different.
To find out more about what it is like to work in clifford chance in india, please visit link.
At clifford chance we understand that our true asset is our peopleWe believe that each and every one of us should experience an equality of opportunity and an equality of experience hereWe are always working to develop and deliver the best and most innovative approaches to make that happenInclusion is good for our team and their families, our firm and society.
We are therefore committed to treating all employees and job applicants fairly and equally regardless of their gender, gender identity and expression, marital or civil partnership status, race, colour, national or ethnic origin, social or economic background, disability, religious belief, sexual orientation, or ageThis applies to recruitment and selection, terms and conditions of employment including pay, promotion, training, transfer and every other aspect of employment.
The firm will regularly review its procedures and selection criteria to ensure that individuals are selected, promoted and otherwise treated according to their relevant individual abilities and merits.
We have a a number of initiatives and networks that support our aspiration to be the global law firm of choiceThese include our lgbt, gender parity, ethnicity and disability networksQualifications
A bachelor`s degree in law from a reputed institute
Company secretary accreditation from the institute of company secretaries of india
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