We are looking for a solicitor/lawyer to join the Norton Rose Fulbright LLP Compliance Team, based 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 practice is required to comply with a number of regulatory rules and orders across the 26 LLP offices. Failure to comply can be a breach of professional standards rules or a criminal, or in some cases civil, offence. The Compliance Team is responsible for overseeing compliance with those rules in order to avoid penalties and damage to our reputation.
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.
Other tasks that you may be required to assist with:
- 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.
- Reviewing and updating the Firm’s risk management policies and procedures, Best Practice.
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.
At Norton Rose Fulbright we welcome receiving direct candidate applications via our careers page.
If you would like to ask any specific questions beforehand, please contact Francesca Hunter at email@example.com
NO AGENCIES PLEASE
Diversity and Inclusion
At Norton Rose Fulbright we value difference and promote a culture of respect for each individual. We encourage workforce diversity in all aspects and at all levels and in doing so create an environment where everyone can realise their full potential and career ambitions on the basis of merit and skill.
If you are unable to apply for a position online or require any reasonable adjustments during the recruitment process, please contact our Recruitment team on firstname.lastname@example.org
The Norton Rose Fulbright office in London has been awarded the Disability Two Ticks Symbol by Jobcentre Plus. The symbol identifies those employers who have agreed to meet five commitments regarding the recruitment, employment, retention and career development of disabled people.
We want to support your application as best we can. For that reason, we operate a Guaranteed Interview Scheme (GIS). This means that applicants with a disability need only meet the minimum qualifying criteria for a role to qualify for an interview under the scheme.
To find out more about Diversity and Inclusion at Norton Rose Fulbright please click on the following link http://www.nortonrosefulbright.com/corporate-responsibility/diversity-and-inclusion/
Norton Rose Fulbright
Norton Rose Fulbright is a global law firm. We provide the world’s pre-eminent corporations and financial institutions with a full business law service. We have more than 3800 lawyers based in over 50 cities across Europe, the United States, Canada, Latin America, Asia, Australia, Africa, the Middle East and Central Asia.
Recognized for our industry focus, we are strong across all the key industry sectors: financial institutions; energy; infrastructure, mining and commodities; transport; technology and innovation; and life sciences and healthcare.
Wherever we are, we operate in accordance with our global business principles of quality, unity and integrity. We aim to provide the highest possible standard of legal service in each of our offices and to maintain that level of quality at every point of contact.
Norton Rose Fulbright LLP, Norton Rose Fulbright Australia, Norton Rose Fulbright Canada LLP, Norton Rose Fulbright South Africa Inc and Norton Rose Fulbright US LLP, each of which is a separate legal entity, are members (‘the Norton Rose Fulbright members’) of Norton Rose Fulbright Verein, a Swiss Verein. Norton Rose Fulbright Verein helps coordinate the activities of the Norton Rose Fulbright members but does not itself provide legal services to clients.
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