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Job Overview



Job Role

Audit Executive

Functional Area

Audit & Control

Work preferred

Work from Office


Min Experience

2 Years

Max Experience

5 Years


The position will have dual responsibility of working with General Manager (CC India) as a leader providing Legal and Risk guidance and mitigation plans of Compliance risks for the firm's India office and managing the Compliance Hub of the Global Risk and Compliance function, based in India.
You will be working to ensure the integrity of the day-to-day operations of a wide range of Risk & Compliance processes being delivered from the India office. In this role you would be expected to get involved with all areas of the compliance and risk function.
Key Responsibilities
India Office Responsibilities:
  • 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 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 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.
Key Requirements
  • 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
Organisational/Strategic/Job-related skills
  • 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 expertise. The 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 externally. We want to create a space where everyone feels respected, included, valued and listened to and our values are demonstrated through our behavior. Our 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 world. We 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 Improvement. We 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 potential. We 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 sectors. Join 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.
Equal Opportunities
At Clifford Chance we understand that our true asset is our people. We believe that each and every one of us should experience an equality of opportunity and an equality of experience here. We are always working to develop and deliver the best and most innovative approaches to make that happen. Inclusion 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 age. This 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 choice. These include our LGBT, Gender Parity, Ethnicity and Disability networks.
Mandatory Qualifications
  • A bachelor's degree in Law from a reputed institute
  • Company Secretary accreditation from The Institute of Company Secretaries of India