Compliance Manager

Norton Rose Fulbright
Newcastle Upon Tyne
24 May 2019
18 Jun 2019
Contract Type
Full Time
The Team

We are looking for an experienced Compliance Lawyer or Compliance Manager to join the Norton Rose Fulbright LLP (NRFLLP) Compliance Team, based in Newcastle. The Compliance Team is overseen by a Compliance Partner who is assisted by two regional Heads of Compliance, a Head of AML, Compliance Counsel/Associates/Managers, and Compliance Officers in three regions: London, the Middle East and Asia.

NRFLLP is required to comply with relevant laws and professional obligations across many jurisdictions. The Compliance Team is responsible for advising on and overseeing compliance with such laws and regulations.

The Role

The role has 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. You may also be required to be part of a roster providing support to a later shift covered for the business by Officers Monday to Friday (2pm to 10pm shift). Some international travel may also be required.

The role currently reports into the Head of Compliance for UK, Europe and Brazil and Head of Compliance Systems and Controls and liaises frequently with the Compliance and Risk Partners, Compliance Counsel and Compliance Associates/Managers.

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.
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.
Assisting the Heads of Compliance and Compliance Counsel in managing conflict and other business acceptance 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 NRFLLP's 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 NRFLLP policies, procedures and practice notes.
Promoting the Newcastle Compliance team to the senior members of the Newcastle Hub ("Hub"), ensuring proper integration and adherence of working practices within the Hub.

Providing regular performance feedback and training, mentoring and development to the Newcastle Compliance team.

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, including policy 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.
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 highly intelligent and have excellent commercial judgement.
Analytical thinker; with 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.
Ability to work in a dynamic and open-plan working environment.
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.
Ability to operate under pressure, managing a range of queries across a wide variety of topics and at the same time managing your own caseload.
Good awareness of English professional conduct requirements and experience of applying English conflicts rules and laws. Working knowledge of US conflicts rules is desirable.

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 Philippa Wilson at (enquiries only - we do not accept applications by email)

NO AGENCIES PLEASE - we will not accept speculative CV's, or any associated terms, sent to the business unless otherwise requested.