Job Description
The role
The Compliance Manager acts as a trusted advisor and provides guidance to partners, lawyers, and business professionals across the full spectrum of risk and compliance issues as set out below.
The Compliance Manager reports directly to the HRC, with a dotted line to the OMP, and collaborates closely with the country’s 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.
The Compliance Manager leads the compliance function in Paris & Casablanca and advises partners, other fee earners, and business professionals on both, day-to-day operations and strategic matters.
The Compliance Manager is responsible for maintaining the local compliance program, fostering a strong compliance culture, and supporting the OMP, partners, fee earners, and business professionals.
The Compliance Manager should build strong relationships with the OMP, GM, and key stakeholders, and may occasionally take on extra duties or lead regional projects.
Key responsibilities
The Compliance Manager's key responsibilities include the following:
- Leading together with the OMP the promotion of compliance culture locally, considering the strategic compliance objectives set by the CR&CO.
- Designing, developing and implementing preventive and monitoring mechanisms with respect to compliance objectives and in alignment with the regional and global compliance teams.
- Leading Paris & Casablanca office's efforts 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 France and Morocco.
- 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.
- Support the OMP and GM in implementing new policies, prepare and facilitate discussions with the local Works Council regarding policy changes, keep the OMP and GM informed of compliance initiatives, and provide them with regular updates on relevant management information and compliance-related reporting.
- Identifying and analysing incidences of non-compliance and implementing rectification measures.
- 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.
- Leading in and assisting the OMP, GM, or other stakeholders with compliance risk assessments and attestations.
- Where necessary, liaising with the local Bar or other regulators of the profession and/or support the OMP in such activities.
- Advising on queries relating to gifts and hospitality in France and Morocco 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.
- Assist with and advise on 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 for Paris & Casablanca, considering specific local requirements and legislation;
- Identify compliance objectives for the Paris & Casablanca offices;
- Participate in implementation and monitor the development and implementation of mandatory risk and compliance training programmes;
- 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.
- Establishing and maintaining strong relationships with peers in the market and with the local regulators.
- Preparing the Paris & Casablanca offices, employees, and partners to effectively manage the growing volume and complexity of relevant laws and regulations. This includes addressing inquiries from regulators and accommodating their visits.
- Regularly reporting to the OMP, GM, HRC, and GHC on regulatory and compliance events.
- Act as a Paris & Casablanca Data Privacy Contact and collaborate with global and regional Data Privacy teams to support compliance with the Firm's 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, regulator's 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
The Compliance Manager's additional responsibilities include the following:
- 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, GM, HRC, and the GHC (and CR&CO where appropriate), on serious compliance violations in France and Morocco. Propose actions aimed at preventing repeated violations in the Paris & Casablanca offices. Report other compliance violations promptly to persons in a position to prohibit or sanction them.
- Report every six months to the HRC and GHC on compliance activities and compliance violations in France and Morocco.
- Report annually to the GHC on the assessment of any compliance risks which could lead to compliance violations or otherwise impair compliance objectives in Paris & Casablanca.
Qualifications
Your experience
The successful candidate should meet the following criteria and have no less than [5] 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, carry out responsibilities independently, being a self-starter and take a leadership role.
- Good understanding of local bar regulations and law firms, local anti-money laundering, anti-bribery, data privacy, and insider trading regulations.
- Experience in implementing internal policies and controls, delivering compliance-related training, dealing with queries and visits from regulators.
- Professional compliance or legal qualification will be considered favourably.
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.
Our one firm global strategy is focused on targeted growth led by the needs of our core clients, those who we can best support with the breadth and depth of Clifford Chance expertise, across the sectors and geographies, which matter most to them.
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.
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.
Find out more about our inclusive culture here.
