Senior Risk & Compliance Lawyer

Overview

The Role will report to the Head of Risk & Compliance. The Senior Risk & Compliance Lawyer will work with the London office Compliance Team to assist the Head of Risk & Compliance in the management of compliance matters, supporting the roles of Compliance Officer for Legal Practice, Compliance Officer for Financial Administration, the Money Laundering Reporting Officers and the London Director of Administration and Strategy. The London Office Managing Partner also takes a keen interest in compliance issues and the compliance function is further supported by the Conflicts Team based New York, along with the Director of Ethics and Compliance and the General Counsel.

  • Advise the London partners and attorneys on conflicts of interest, all aspects of client on-boarding and a wide range of compliance and regulatory issues

  • Review and draft risk and compliance policies and procedures to align with the firm’s and London office’s strategy and risk management appetite;

  • Identify efficiencies and improvements which could be made to internal compliance systems, processes and procedures, with client service as a key objective;

  • Work closely with the US offices on a wide range of compliance matters and liaise with, and assist, the Asian and European offices in relation to regulatory issues including conflicts and confidentiality, AML, Data Protection and GDPR, and Market Abuse;

  • Liaise with other Support Functions in relation to regulatory issues affecting those areas and assist in drafting and implementing appropriate policies and procedures;

  • Supervise and mentor junior members of the London office Compliance Team;

    Involvement in and management of other ad hoc risk and compliance projects;

  • Assisting with the renewal of relevant insurance policies for the London and European offices; and

  • Assist the Head of Risk & Compliance with developing and delivering risk and compliance training and general awareness raising amongst partners and employees.

Skills required

  • Qualified lawyer;

  • Experience of working at a large City / International firm;

  • Good communication and organisational skills;

  • Ability to work as a team and contribute to its success;

  • Ability to manage and motivate others;

  • 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 meat 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 Handbook;

  • Working knowledge of some or all of the GDPR, the 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, would be helpful.