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Compliance Associate at Norton Rose Fulbright

Job Reference: 41879

Job type Job locationLondon, UK

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Job description


The Team

We are looking for a solicitor/Associate to join the Norton Rose Fulbright LLP (NRFLLP) Compliance Team, based in London. The Compliance Team is run by a Head of Compliance who is assisted by a Head of Compliance for UK, Europe and Brazil, a Head of Compliance for the Middle East and Asia, Conflicts Counsel, Compliance Associates, and Compliance Officers in three regions: London, the Middle East and Asia.

NRFLLP is required to comply with all relevant laws and professional obligations in every office. 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

The role will report to the firm's Head of Compliance for UK, Europe and Brazil and will liaise with the Conflicts Counsel. While the majority of your work will be internally focused, there is the possibility of being involved with client facing work. You will 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 primary focus of this role will be conflicts resolution and related policy work, including:
  • Advising partners, fee earners and the Compliance Team on potential co...

Before you apply, we encourage you to learn more about Norton Rose Fulbright

Be unique. Be authentic. However you prefer to say it, we really mean it. Our culture embraces people’s diverse perspectives and creates a positive environment where everyone belongs. We’re determined to build a better, more connected world for everyone.

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Inclusive features

Pre-application Information Read more about Norton Rose Fulbright
  • 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.
  • Assisting the Heads of Compliance and Conflicts 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.
  • 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.
  • 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.
  • Assisting with and delivering wider compliance projects, including the review of NRFLLP policies, procedures and practice notes.
  • Assisting the Compliance Managers and Team Leaders in training, mentoring and developing the Compliance Officers and other members of the 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 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.
  • 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.
  • An awareness of English professional conduct requirements and experience of applying English conflicts rules and laws and a working knowledge of US conflicts rules is desirable.
  • Be highly intelligent and have excellent commercial judgement.
  • Analytical thinking; 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.
  • Be sufficiently confident to exercise risk-based judgement calls on a daily basis.
  • Be fully conversant with the Associate'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 Philippa Wilson at Philippa.wilson@nortonrosefulbright.com (enquiries only - we do not accept applications by email)

NO AGENCIES PLEASE
Proceed to apply
Industry
Business Services
Job Sector
Financial Services
Job Position
Compliance
City/Town
London
Address
London, UK Show on map
Post date
Closing date

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