Nicholas Scott is working with a leading US Firm who are seeking a Compliance Lawyer will work within the London Compliance Team. The London Compliance team is a small team of lawyers and analysts who advise on a broad range of compliance and regulatory issues relevant to legal practice. The London Office Managing Partner also takes a keen interest in compliance issues resulting in a strong compliance culture across the office. The New York Conflicts Team and the firm’s General Counsel further support the compliance function.
Key Duties and Responsibilities
Advise the London partners and attorneys on conflicts of interest, all aspects of client on-boarding and related firm policies;
Review and draft risk and compliance policies and procedures to align with the firm’s and London office’s strategy and risk management appetite;
Lead on UK data protection issues such as revising and amending firm policy in line with legislative changes, reviewing client terms, supplier questionnaires, considering data transfer issues, responding the data protection HR related queries such as DSARs and maintaining the firm’s ICO registration;
Respond to a variety of compliance related queries relating to secondments, insider lists, contractual arrangements with clients, and compliance with the SRA Codes of Conduct;
Mentor junior members of the London Compliance Team and proactively share knowledge in weekly team meetings;
Involvement in and management of other ad hoc risk and compliance projects; and
Assist with developing and delivering risk and compliance training and general awareness raising amongst partners and employees.
Experience of working at a large City / International firm;
Experience advising on UK data protection issues as they impact law firms;
Good communication and organisational skills;
Ability to work as a team and contribute to its success;
Experience managing projects and implementing changes to processes and procedures;
Ability to assess, draft and update policies and precedents ensuring stakeholder consultation where appropriate;
Solutions orientated with a commercial and pragmatic approach;
Client service focussed and ability to take initiative;
Attention to detail, ability to prioritise and meet deadlines;
Resilience and ability to interact with people at all levels in a constructive and polite manner;
Detailed knowledge of and experience of advising on some or all aspects of the SRA Standards and Regulations;
Working knowledge of some or all of the SRA Codes of Conduct, UK Bribery Act 2010, the UK Anti-money laundering regime, the Market Abuse and Insider Trading laws, the international sanctions regimes and the Criminal Finances Act, is desirable.
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