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Compliance Manager, Australia

2 weeks ago

Sydney, New South Wales, Australia Clifford Chance Full time $80,000 - $150,000 per year
Company Description

Who we are

We are one of the largest international law firms in the world. With over 30 offices across the globe, we strive to exceed the expectations of our clients, providing them with the highest-quality advice and legal insight, which combines the firm's global standards with in-depth local expertise.

Our firm, work and people span jurisdictions, cultures, and languages. We offer our clients a truly international perspective. We believe every career should be rewarding and stimulating - full of opportunities to learn, thrive, and grow. That's why we're so proud of our inclusive, friendly, and team-based approach to work.

You'll find our clients in commercial and industrial sectors, the financial investor community, governments, regulators, trade bodies, and not-for-profit organisations. But no matter who they are or why they've reached out to us, we provide a world-class service every step of the way. And that's possible thanks to the entrepreneurial spirit and conscientious approach to work that you'll find across all of our teams.

Whichever area of the business you join, you'll become an integral part an innovative, diverse and ambitious team of people. Clifford Chance is a place where the brightest minds and the best of colleagues meet.

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 HRC and works closely with the Global Head of Compliance ("GHC"), Chief Risk and Compliance Officer ("CR&CO"), Office Managing Partner ("OMP"), the Office General Manager ("GM") , 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, GM 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 responsibilities

The Compliance Manager's key responsibilities include the following:

  • Ensure the Australian partnership and offices are in compliance with local laws and regulatory rules.
  • Liaise with the NSW and WA Law Societies to ensure firm compliance on regulatory matters.
  • With the OMP and GM, lead the promotion and monitoring of compliance locally, taking into account the compliance objectives set by the CR&CO.
  • Design, develop and implement preventive monitoring mechanisms with respect to compliance objectives.
  • 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.
    • Monitoring compliance with global policies in the local office.
    • Where applicable, designing local policies that align with global policies and liaising with the HRC 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 the Australian offices 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, GM and central compliance function of any such changes and their impact potentially on the firm.
  • Proactively identify and assess key regulatory and compliance risks of the local office and perform regular horizon scanning for potential changes and upcoming risks.

Together with the HRC:

  • Implement, operate and develop the compliance management system for the Australian offices, taking into account specific local requirements and legislation;
  • Identify compliance objectives for the Australian 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 OMP, HRC and GHC 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.

Reporting obligations

  • Report promptly to the OMP, GM and HRC (and HGC 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 HRC on compliance activities and compliance violations in their respective country.
  • Report annually to the HRC on the assessment of any compliance risks which could lead to compliance violations or otherwise impair compliance objectives in their respective country
Qualifications

Your 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 legal profession 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.
  • Australian Legal qualifications will be considered favourably.
  • Ability to carry out responsibilities independently and take a leadership role.
Additional Information

Equal opportunities

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.

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