My client is looking for a solicitor/lawyer to join their growing Compliance Team in London. The Compliance Team is run by a Head of Compliance who is assisted by compliance lawyers and officers in three regions: London, the Middle East and Asia.
The role will report to the firm’s Head of Compliance and will liaise with the Compliance Team Manager. While the majority of your work will be internally focused, there is the possibility of being involved with client facing work. Some international travel may also be required.
The primary focus of this role will be conflicts resolution and related policy work, including:
- Advising partners, fee earners and the Compliance Team on potential conflicts of interests, confidentiality and disclosure issues.
- Liaising with and assisting the Compliance Teams at Norton Rose Fulbright Member Firms in Australia, Canada, USA and South Africa in conjunction with potential conflicts.
- Reviewing engagement and relationship letters, panel appointments and non-disclosure agreements produced by clients, and advising as to their acceptability; Monitoring and reviewing the wording of our standard form engagement letters.
- Assisting with devising and rolling out compliance training, across all LLP offices.
- Producing monthly risk reports for senior management in conjunction with others.
- Assisting partners and fee earners with their duties under the SRA Code of Conduct and other regulatory obligations.
- Reviewing documentation provided by potential clients in order to ensure compliance with Money Laundering Regulations and local AML/CTF laws; advising fee-earners on relevant requirements.
- Assisting fee-earners with their obligations under the Bribery Act and on accepting or giving gifts
- Understanding and advising fee earners on the implications and effect of economic sanctions.
- Monitoring the development of compliance obligations world-wide.
- Auditing fee-earner files in conjunction with the Head of Compliance.
- Advising on directorships and trusteeships, client relationship letters, arbitral appointments, other risk management and other compliance queries.
- Monitoring and managing insider information and managing the dealing database.
Skills and Experience Required
- Be a qualified solicitor, REL or RFL, or qualified in Australia, New Zealand, Canada, South Africa or the United States.
- Have a minimum of 2 years’ experience of working as a fee-earner in a commercial law firm or in the regulatory area in a similar international legal practice.
- Be highly intelligent and have excellent commercial judgement.
- Have strong communication skills with experience of operating in a multi-cultural environment.
- Have sufficient influencing skills to work successfully & confidently at all levels including with senior management and partners.
- Be sufficiently confident to exercise risk-based judgement calls on a daily basis.
- Be fully conversant with the lawyer’s primary duties as to confidentiality and client care.
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