Compliance Officer

Summary

The Compliance Officer provides advice and guidance to partners lawyers and business professionals across the spectrum of risk and compliance issues as set out below.

The Compliance Officer reports directly to the HRC with a dotted line to the OMP and collaborates closely with the countrys General Manager (GM) Chief Risk and Compliance Officer (CR&CO) Global Head of Compliance (GHC) members of the Risk Compliance and Data Privacy teams fellow Compliance Managers and Officers at Clifford Chance as well as relevant Business Professional function managers. This collaborative approach ensures that the Firm fulfils its obligations in the areas outlined below.

Role

 The Compliance Officer supports the OMP and GM in ensuring the compliance in the office/country and actively advises partners other fee earners and business professionals on relevant policies procedures and processes.

The Compliance Officer is expected to form and develop excellent working relationships with their OMP General Manager and other key stakeholders. Together with the OMP and GM the Compliance Officer will implement the compliance program in Paris and Casablanca. 

The Compliance Officer may from time to time be requested to take on additional responsibilities.

Key Responsibilities

The Compliance Officers 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.
• With the OMP or their delegate implement preventive monitoring mechanisms with respect to compliance objectives.
• Implement a system to create awareness of Clifford Chance global policies and procedures and provide compliance advice and guidance to partners lawyers and business professionals including:
  • Participating in the creation and review of new global policies and actively promoting awareness of and monitoring compliance with global policies in Paris and Casablanca.
  • Where necessary designing local policies that align with global policies and liaising with the HRC GHC on any differences in local policies that may be required.
• Identifying and analysing incidences of non-compliance and implementing rectification measures.
• Advising on queries relating to gifts and hospitality and be an advisor to the central compliance team where central compliance approval is required in relation to any local restrictions or specific local concerns.
• Proactively identifying and assessing key regulatory and compliance risks for the office. Monitoring of the evolving compliance laws and regulations which may have an impact on the operations of the Firm and existing policies and procedures and advise the OMP HRC and central compliance function of any such changes and their potential impact on the firm including through participating in horizon scanning.
• Reviewing periodic compliance reports and dashboards ensuring appropriate follow-up by responsible stakeholders and contributing to further enhancement of reporting methods.
• Where necessary liaising with the local Bar or other regulators of the profession and/or support the OMP in such activities.  
• Assist with local confidentiality and privilege rules including maintaining and updating local policies and process required for compliance with these rules.
• Together with the HRC:
  • Implement operate and develop the compliance management system considering specific local requirements and legislation;
  • Identify compliance objectives for the  offices;
  • Participate in implementation and 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 and Clifford Chance Code.
• Regularly reporting to the OMP GM HRC and GHC on regulatory and compliance events.
• Act as a Data Privacy Contact and collaborate with global and regional Data Privacy teams to support compliance with the Firms data privacy policy and relevant regulatory requirements assisting in the implementation of global policies and procedures for extraterritorial regulations such as GDPR.
• In relation to anti-money laundering:
  • Assist the local MLRO / MLCO or equivalent position in performing their duties including support on suspicious activity reports (coordinating with the global AML team) and completing annual MLRO reports.
  • Assisting with AML-related audits regulators visits or requests.
• 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.

 Additional Responsibilities

Depending on the needs of the offices the Compliance Officer may be expected to take on the following responsibilities (with training if needed):

• Together with the GM (or delegate):
  • together with finance and legal teams review and assist with engagement letters client terms or framework agreements supplier contracts and other agreements and documents to be entered into by the Firm;
  • closely work with and advise local finance team on compliance matters in relation to billing time transfers and collection.
  • assist the Firm with corporate secretarial and related compliance issues.
  • oversee and help with drafting and reviewing audit letters replies before they are signed by a partner and regularly review and update templates of audit letters replies.
• Together with the global MDR Compliance team:
  • supporting DAC6/UK MDR requests and actions as well as monitoring MDR compliance.
  • ensuring an adequate level of awareness of MDR requirements including where necessary conducting regular training sessions and drafting as well as maintaining up-to-date local MDR guidance.

Reporting Obligations 

• Report promptly to the OMP and the HIC (and CR&CO where appropriate) on serious compliance violations in their respective country. Propose action aimed at preventing repeated violations in their respective country. Report other compliance violations promptly to offices or persons in a position to prohibit or sanction them.
• 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.  

Qualifications :

The successful candidate should meet the following criteria and have 3-5 years  of 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.
• Studies in law and business ethics will be considered favourably.
• Ability to carry out responsibilities independently and take a leadership role.

Additional Information :

How we will support you

From your first day with us you will have varied opportunities to continuously grow and development your skills and knowledge. From formal training informal coaching and mentoring through to skills-based and technical training and on the job learning.

You can also get involved in a variety of employee affinity groups. There is also opportunity to be part of charitable events and volunteering.

Equal opportunities statement

At Clifford Chance we understand that our true asset is our people. Inclusion is good for our team and their families our firm and society.

We are committed to treating all employees and 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 age.  This applies to recruitment and selection terms and conditions of employment including pay promotion training transfer and every other aspect of employment.

We have a variety of flourishing employee networks. These networks are a place for colleagues to share experiences and advocate for change wherever they see an opportunity for improvement.

Our goal is to deliver an equality of opportunity an equality of aspiration and an equality of experience to everyone who works in our firm. 

Find out more about our inclusive culture here

Remote Work :

No

Employment Type :

Full-time