Head of Corporate Risk and Governance

at  Charles Russell Speechlys

The firm’s Risk Legal Team, led by the firm’s General Counsel Susan Rosser, includes 9 lawyers and 2 paralegals advising on all aspects of legal risk, including firm governance, financial crime compliance, claims, complaints, insurance, engagement terms, contracts, data privacy, SRA STaRS compliance and conduct issues and regulatory engagement.
In addition, the New Business Intake team (approximately 30 managers and analysts) sits within the Compliance & Risk function, reporting up to the Director of Compliance. At present, the firm’s London head office handles all compliance and risk matters across the firm’s global footprint.
We are seeking a Head of Corporate Risk and Governance to support and, where required, deputise for the General Counsel including in relation to COLP matters. This is a new role that arises from the expansion of the firm’s General Counsel team in response to growth within the firm and increasing regulatory requirements within the sector in the UK and internationally.
The focus of the role will be firm governance, ensuring compliance with professional standards (including through policy work, file auditing and training), and contractual work. The Head of Corporate Risk and Governance will work with the General Counsel on strategic risk management issues, including in support of the firm’s growth plans.
The role will also involve engaging directly with - and from time to time challenging - senior stakeholders across the business to ensure that the right balance is achieved between commercial and regulatory objectives. The Head of Corporate Risk and Governance will report to the General Counsel and work closely with Director of Compliance, Data Privacy Officer, Head of Professional Liability and other lawyers, managers, and analysts in the team.
It is anticipated that the Head of Corporate Risk and Governance will be the line manager for a small team of more junior lawyers and paralegals, potentially including the conflicts resolution team.

Roles and Responsibilities

• Advise on firm governance issues, including drafting and advising on the Members’ Agreement and other LLP documentation
• Advise on appropriate business structures, including from a regulatory compliance perspective
• Review and advise on intra-group agreements
• Provide support to the firm’s management and General Counsel in respect of any new office openings
• Provide legal advice in relation to governance initiatives
• Draft and advise on letters of engagement with clients
• Review and advise on Outside Counsel Guidelines / Panel Terms
• Provide legal and regulatory support for client pitches
• Advise on engagement terms with other client service providers
• Working with the Head of Procurement, advise on the firm’s own vendor contracts
• Working with the firm’s external CoSec services provider, ensure appropriate filings are made in relation to the firm and its entities
• Working with HR, ensure compliance in the practising certificate renewal process
• Update policies and procedures as required
• Supervise and review file audits
• Work with the General Counsel and Director of Compliance on strategic risk management initiatives
• Provide input to the firm’s Risk Register and Business Continuity Plans
• Advise on regulatory requirements relating to solicitor and firm conduct and authorisation and assist the COLP with any required reporting
• Assist the COLP and MLCO with regulatory engagement
• Work with the COLP to disseminate and embed best practices in the firm, including by providing training to Compliance and Risk team and fee-earners and drafting internal communications and updates
• Occasional travel to other offices, including outside the UK, may be required

Skills and experience

• English-qualified lawyer
• Likely to have at least 10 years’ post-qualification relevant experience, at least some of which has been gained as a corporate-commercial lawyer or equivalent in private practice
• May be working in either a fee-earning or in-house role (if currently working in a law firm, likely at Legal Director/Of Counsel/Junior Partner level)
• Must be experienced in drafting and negotiating a range of commercial contracts
• Should have experience of governance
• Experience in partnership law a distinct advantage
• Should have a good understanding of SRA rules of conduct for individuals and firms
• Must have a good understanding of regulatory requirements in relation to dealing with clients, including engagement terms
• Experience of complex conflicts resolution is desirable
• Experience of inside information compliance requirements and/or competition law compliance requirements is desirable
• Experience in an international law firm is highly desirable
• Should have line management experience and be able to provide effective leadership, including experience of training and developing other people
• Whilst other risk and compliance skills are welcome, the candidate does not need to be able to advise on financial crime compliance matters, insurance, data privacy or claims work as this is handled by other team members

Person specification

• Be able to work with minimal supervision and using own initiative
• Be able to motivate and mentor others
• Credible operating at a senior level with strong influencing skills
• Able to work effectively with and build strong relationships with colleagues at all levels across the firm
• Able to articulate difficult messages and decisions to the business through effective communication
• Resilient, flexible in approach and responsive
• Comfortable working under pressure to juggle competing priorities and meet tight deadlines
• Commercial and pragmatic
• Effective approach to decision-making
• Self-motivated and able to take responsibility for taking matters through to completion or resolution

Competencies

• Client service
• Integrity and respect
• Interpersonal skills
• Leadership
• Delivery focus
• Client-centric

• Advise on firm governance issues, including drafting and advising on the Members’ Agreement and other LLP documentation
• Advise on appropriate business structures, including from a regulatory compliance perspective
• Review and advise on intra-group agreements
• Provide support to the firm’s management and General Counsel in respect of any new office openings
• Provide legal advice in relation to governance initiatives
• Draft and advise on letters of engagement with clients
• Review and advise on Outside Counsel Guidelines / Panel Terms
• Provide legal and regulatory support for client pitches
• Advise on engagement terms with other client service providers
• Working with the Head of Procurement, advise on the firm’s own vendor contracts
• Working with the firm’s external CoSec services provider, ensure appropriate filings are made in relation to the firm and its entities
• Working with HR, ensure compliance in the practising certificate renewal process
• Update policies and procedures as required
• Supervise and review file audits
• Work with the General Counsel and Director of Compliance on strategic risk management initiatives
• Provide input to the firm’s Risk Register and Business Continuity Plans
• Advise on regulatory requirements relating to solicitor and firm conduct and authorisation and assist the COLP with any required reporting
• Assist the COLP and MLCO with regulatory engagement
• Work with the COLP to disseminate and embed best practices in the firm, including by providing training to Compliance and Risk team and fee-earners and drafting internal communications and updates
• Occasional travel to other offices, including outside the UK, may be require