COMPLIANCE AND RISK TEAM

The firm’s Risk Legal Team, led by the firm’s General Counsel, Susan Rosser, includes 9 lawyers and 3 paralegals advising on all aspects of legal risk, including financial crime compliance, claims, complaints, insurance, engagement terms, supply contracts, conflicts, data privacy, SRA STaRS compliance and conduct issues and regulatory engagement.
The firm’s Director of Compliance and MLCO, Zoe Allen-Robinson, is primarily responsible for ensuring the firm complies with its obligations around anti-money laundering compliance, international sanctions and client suitability/reputational risk issues. She is also responsible for the New Business Intake (NBI) Team which includes the Head of NBI, NBI Managers, Senior Compliance Analysts, Compliance Analysts and Compliance Assistants.
Currently, the NBI Team runs conflict checks but the relevant Matter Partner is responsible for reviewing and approving the results. Where a potential conflict is identified, Partners are encouraged to seek further guidance from the Risk Legal team. The firm is in the process of implementing a new NBI system using Intapp’s Conflicts and Intake products. As part of this project, the firm plans to move to a more centralised conflicts clearance process staffed by specialist lawyers and analysts.

SKILLS AND EXPERIENCE

• Qualified lawyer with around 2-4 years PQE in conflicts resolution.
• Clear understanding of relevant professional rules and guidance.
• Experience of US conflicts rules would be helpful (as the firm has some fee-earners who are subject to US bar rules).
• Experience of working with Intapp Conflicts product is not required but would be desirable.
• Experience of implementing process change is helpful.

ROLE CONTEXT

In order to prepare for this change, we now wish to recruit a Conflicts Lawyer into the Risk Legal Team to work with the NBI Team on reviewing and resolving complex conflicts results, advising fee earners on complex conflict results, ensuring the firm’s compliance with the SRA STaRS relating to conflicts, to provide training and guidance to junior staff and fee earners on running and understanding conflict checks, and to assist with setting up new policies and protocols for clearing conflicts in our new NBI system as it is rolled out.
This role would sit within the Risk Legal Team reporting to the Head of Corporate Risk and Governance while a new structure for our dedicated conflicts team is put in place.

ROLE AND RESPONSIBILITIES

• Assisting the NBI Team with reviewing and analysing conflicts reports, particularly those that are more complex.
• Advising on conflict resolution strategies and recommending appropriate actions.
• Working with fee-earners to resolve conflicts in a timely manner.
• Advising on lateral hire recruitment from a conflict perspective.
• Identifying strategic conflicts arising between types of clients or workstreams the firm is undertaking.
• Assisting in the continued development and implementation of conflict management policies and procedures and ensuring they are in line with legal and regulatory requirements.
• Developing educational material on the firm’s conflict management policies and procedures.
• Providing training on the firm’s conflict management policies and procedures to all fee-earners and staff members.
• Collaborating with others in the Risk Legal Team to identify and mitigate risks related to conflicts.
• Complying with all relevant legal and regulatory obligations including the Solicitors Regulation Authority (SRA) Standards and Regulations, and Principles.