Legal and Compliance Analyst

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).

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).
• 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.