Industry: Trading
Location: New York
Salary: ＄80K~95K
Visa Sponsor: No
Language: English: Business Level, Japanese: Native Level
Detail: Position: Legal and Compliance Analyst
Department: Legal & Compliance
Location: New York, NY
SUMMARY OF POSITION:
This position is responsible for (i) leading the Legal & Compliance Department (“NYLCD”)
in the implementation and continued development of compliance programs for the
Company, (ii) providing oversight of the master data management (“MDM”) function for
the Company, and (iii) providing paralegal assistance to the NYLCD and staff attorneys. In-
person work at the assigned office location is a regular component of this role’s
responsibilities. This role will report to the General Manager of the NYLCD and Chief
Compliance Officer of the Company.
ESSENTIAL FUNCTIONS:
In-person work at the assigned office location is a regular component of this role’s
responsibilities.
Compliance:
Assume primary responsibility for reviewing compliance forms and filings submitted to
the NYLCD in accordance with the Company’s Code of Conduct, Anti-Corruption Policy,
and Anti-Corruption program. Advise employees if modifications are needed or
additional forms required.
Communicate with business and administrative departments to ensure compliance
forms are submitted accurately and reviewed in a timely manner.
Make recommendations to either approve or deny transactions based on compliance
risk profile.
Coordinate communications (i) between the NYLCD and the Tokyo Compliance unit,
and (ii) NYLCD and the subsidiaries and affiliates in the Americas Region on compliance
matters, as required.
Assist NYLCD in the administration of compliance training to employees through
e-learning or live training, including newly acquired group companies.
Interact with the New York Internal Audit and Accounting Departments to source raw
data necessary to validate compliance with the Anti-Corruption procedures.
Assist with the investigation of complaints received by NYLCD and preparation of
reports for management.
Review of legal documentation to ensure inclusion of anti-corruption clauses.
Master Data Management:
Supervise NYLCD’s MDM group, which is responsible for data entry into SAP for new
customers, vendors, products, materials and employees.
Manage and supervise part-time staff responsible for actual data entry tasks and act as
emergency backup as needed.
Communicate with administrative and business teams within the Company on MDM
matters
Review and revise MDM manuals from time to time
Paralegal:
Assist with paralegal matters, as assigned, including notarizing documents, obtaining
apostilles, preparing share certificates, and conducting litigation and bankruptcy
searches.
Preparation and review of non-disclosure and confidentiality agreements, corporate
governance documents and other standard agreements under the supervision of
attorneys.
Assist with special projects, as assigned.
POSITIONS REPORTING TO THIS EMPLOYEE:
Part-time MDM staff (2 total).
BUDGETARY RESPONSIBILITY: None.
EDUCATION, EXPERIENCE AND SKILLS REQUIRED:
Minimum six years’ experience preferable.
Proficient in SAP, Concur, Microsoft Office (e.g., Microsoft Word, Microsoft Excel, and
Microsoft PowerPoint).
Japanese language skills required.
Paralegal certificate preferred, or interest in obtaining paralegal certificate.
Prior compliance experience preferable.
Ability to demonstrate flexibility and work as a member of a team.
Must possess strong analytical skills, meet deadlines and maintain confidential
information.
Demonstrate a cooperative attitude, strong verbal and communications skills with
clients and co-workers.
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The above statements are intended to describe the general nature and level of work being performed by
people assigned to this classification. They are not intended to be constructed as an exhaustive list of all
responsibilities, duties and skills required of personnel so classified.
