Compliance Attorney

Summary

The Compliance Attorney is responsible for assisting the Sr. Compliance Attorney with assigned functions within the Ethics and Compliance Department. The Compliance Attorney will support the Firm’s risk management function, acting as a resource and managing certain functions within the conflicts of interest process. Specifically, the Compliance Attorney will assist with drafting and obtaining engagement letters and waivers, reviewing and summarizing Outside Counsel Guidelines, and assisting the Sr. Compliance Attorney, Director, Ethics and Compliance, and Senior Manager, Compliance and Conflicts Operations with formal ethical screens as needed. The Compliance Attorney in conjunction with the Conflicts Attorneys will be responsible for reviewing conflict questionnaires for incoming hires and assisting in evaluating potential conflicts of interests and identifying appropriate steps for resolution.

Responsibilities

• Take initiative to identify, address and evaluate potential compliance-related issues as well as appropriate steps for resolution.
• Escalate appropriate sensitivity issues to the Sr. Compliance Attorney or Director, Ethics and Compliance.
• Evaluate potential conflicts of interest and identify appropriate steps for resolution.
• Support attorneys in reviewing and interpreting conflicts reports.
• Complete conflict reports and assist with drafting supporting documentation as well as follow-up to ensure potential issues are addressed and resolved.
• Liaise with partners with respect to obtaining engagement letters and necessary conflict waivers.
• Develop expertise on conflicts rules and approaches in specific practice areas, and possess and maintain knowledge of conflicts rules.
• Assist with the review of Outside Counsel Guidelines Review Process and provide analysis to the Senior Compliance Attorney.
• Work closely with Conflicts Attorneys to review all incoming conflict questionnaires and reports for summer and incoming associates as well as lateral hires.
• Assist attorneys with constructing informational barriers and work closely with the Senior Manager, Compliance & Conflicts Operations to ensure the establishment of appropriate barriers and supporting documentation.
• Keep abreast of current legal and other developments that may affect the Firm’s conflicts of interest procedures.
• Any additional responsibilities as required by management.

Requirements

• At least 5 years’ experience in a large law firm or the equivalent, with at least 1-year experience in the area of conflicts, compliance, or risk management. BFR or Corporate experience within a major law firm preferred.
• Legal writing and research experience related to the skills or duties described above.
• Ability to consistently exercise discretion and independent judgment with respect to matters of significance.
• Demonstrate consistency in exhibiting mature judgment and handling confidential information appropriately.
• Effective communicator with strong oral and written communication skills.
• Ability to work in a multidisciplinary team with both lawyers and non-lawyers.
• Pro-active self-starter.
• Ability to see the big picture without losing sight of the details.
• Works well under pressure and deadlines.

Education/Certifications

• J.D. Required.
• Must have an active bar membership and be in good standing in at least one U.S. jurisdiction. Preferably New York State Bar.