Compliance Manager

Newcastle Upon Tyne
16 Apr 2019
28 Apr 2019
Contract Type
Full Time

A Top 10 Law Firm are seeking a Compliance Manager to join their team in Newcastle!

This firm has a well-deserved reputation as one of the ‘nice’ City firms and their office in Newcastle is designed as a flagship office for sustainability. As such they run a modern, open plan and completely paperless environment. The culture is really friendly, collaborative and relaxed with a huge emphasis on employee engagement and welfare.

They have a committee that arranges social and charitable activities such as buffet lunches with speakers, summer parties and a monthly social. Additionally, employees are allowed two paid days per year where they can do charity work.

Personal and professional development is supported with training and development highly valued. All employees are provided with a lap top and some home working would be considered after probation period.

The position is for an experienced Compliance Lawyer or Compliance Manager. There is a team of Compliance Officers as direct reports (currently focusing primarily on conflicts analysis, resolution and related policy work), so it is essential that the role holder has relevant experience of conflicts resolution at a high level, can appropriately mentor and supervise the work of more junior staff, make appropriate decisions and is competent as a manager and senior adviser to the partnership. While the majority of your work will be internally focused, there is the possibility of being involved with client facing work and other compliance issues.

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.
  • Managing a team of compliance officers and senior officers, dealing with escalations on conflicts and risk issues.
  • Assisting the Heads of Compliance and Compliance Counsel in managing conflict and other business and regulatory issues including directorships and trusteeships, client relationship letters, arbitral appointments, other risk management and other compliance queries.
  • Help partners and fee earners to understand their duties under the SRA Code of Conduct, Economic Sanctions laws/regulations, Market Abuse Regulation, External Appointments, other applicable laws/regulations and risk management policies
  • Producing monthly risk reports for senior management in conjunction with others.
  • Proactively assisting with and delivering wider compliance projects, including the review of policies, procedures and practice notes.

Skills and Experience Required

  • Be highly intelligent and have excellent commercial judgement.
  • 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.
  • Preferably be a qualified solicitor, REL or RFL, or qualified in Australia, New Zealand, Canada, South Africa or the United States and/or have a minimum of 5 years’ experience taking decisions on and resolving conflicts in a similar international legal practice.
  • Experienced in leading a successful team with an ability to effectively operating an integrated satellite team across a global firm.
  • Experience in training and mentoring staff, with a proven record of motivating staff to achieve results.
  • Working knowledge of US conflicts rules is desirable.

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