The firm’s Compliance & Risk team, led by the firm’s General Counsel Susan Rosser, includes 9 lawyers and 3 paralegals advising on all aspects of legal risk, including financial crime compliance, claims, complaints, insurance, engagement terms, contracts, conflicts, data privacy, SRA STaRS compliance and conduct issues and regulatory engagement. In addition, the New Business Intake team (approximately 30 managers and analysts) sits within the Compliance & Risk function, reporting up to the Director of Compliance. At present, the firm’s London head office handles all compliance and risk matters across the firm’s global footprint.
This role reports to the Head of Corporate Risk & Governance, Lucy Banham, who is responsible for firm governance (including the LLP Members Agreement, intra-group agreements and related documents), ensuring compliance with professional standards (including through policy work, file auditing and training), and contractual work relating to both client engagements and the firm’s suppliers. Within Lucy’s team there is also a Senior Compliance and Risk Counsel and a paralegal. The Conflicts Team also currently reports to Lucy.
Role and Responsibilities
• Advising on SRA regulatory requirements
• Assisting with regulatory engagement
• Advising on regulatory requirements with respect to global mobility of fee-earners
• Drafting and updating firm policies on, for example, anti-bribery, hospitality and gifts, and insider dealing
• Auditing files for compliance with regulatory requirements
• Assisting with COLP internal investigations
• Advising on complex conflict matters
• Drafting and updating client engagement letters and standard terms of business
• Advising on outside counsel guidelines, client bespoke terms and consultancy agreements
• Providing legal risk assistance on client pitches, RfPs and Panel applications
• Supporting the opening of any new offices
• Complying with all relevant legal and regulatory obligations including the Solicitors Regulation Authority (SRA) Standards and Regulations, and Principles.
Skills and experience
• Qualified lawyer with around 2-4 years’ experience ideally within a Risk team in a large City or international law firm
• Understanding of SRA STaRS and experience of advising on the same
• Solid contract drafting experience
• Understanding of conflicts of interest and conflicts resolution
Person specification
• Be able to work with minimal supervision and using own initiative
• Able to work effectively with and build strong relationships with colleagues at all levels across the firm
• Able to articulate difficult messages and decisions to the business through effective communication
• Excellent written and verbal communication skills
• Resilient, flexible in approach and responsive
• Able to balance competing priorities effectively
• Self-motivated and able to take responsibility for taking matters through to completion or resolution
• Experience of working in a large City or international law firm
#J-18808-Ljbffr