SummaryThis is an exciting opportunity to support the International Risk & Compliance Director of an international law firm (who is based in London) and to work alongside the firm's Heads of Risk & Compliance in the Europe and APAC regions, and the US claims counsel in relation to Risk & Compliance issues in the US. This role is suited to an ambitious individual with experience in the legal sector.
As the leader of a team, the successful candidate will oversee all activities of the US Risk & Compliance team, assist in identifying areas of risk inherent in the firm's practice and ensuring that there are in place best practice mechanisms and procedures to respond to and manage those risks, and be committed to developing the Risk & Compliance function throughout the US, working alongside teams in Europe and Asia.
The Head of US Risk & Compliance will play a key role in developing and implementing the firm's risk and compliance strategy and lead the process of ensuring compliance with relevant legislation, and ensuring risk is being effectively managed and mitigated and the firm adopts fit for purpose programs and procedures to ensure best practice is adhered to.
Knowledge of legal regulatory and legislative requirements for individual attorneys and law firms, and an understanding of risk in the legal services environment, is essential.
The expected salary for this position is between $280,000 - $350,000. The actual compensation will be determined based on experience and other factors permitted by law. This role can be based out of our New York, New Haven, or Greenwich office.
The Role - Oversee the regulatory compliance, and professional indemnity elements of the firm's US Risk & Compliance team.
- Oversee and optimize US new business intake (NBI), conflicts analysis and resolution, including waivers, engagement terms, and ethical screens/information barriers.
- Coordinate with the AML & Sanctions Manager to implement the Firm's client due diligence, sanctions and reputational risk controls for US matters (as a Firm policy and client/market expectation), ensuring alignment across regions.
- Lead on horizon scanning and oversee the application, implementation and regular periodic reviews and updating of the firm's policies, controls and procedures. Collaborate to make improvements to systems and processes. Drafting and updating Risk policies and procedures accordingly.
- Analyzing and responding appropriately to queries involving complex legal, regulatory and factual issues.
- Assist the International Risk & Compliance Director, Compliance Officer for Legal Practice (COLP), Finance International Finance Director, and the Chief People Officer in the management of regulatory, professional ethics and compliance matters relevant to the partners, other fee-earners and support staff throughout the firm's US offices.
- Partner with US Claims Counsel and Professional Indemnity Manager to support complaints/claims processes, root-cause learning, insurer/broker relationships, and risk reduction initiatives.
- Lead US risk workstreams for major projects (e.g., lateral partner hires, office openings, large conflicts exercises, sensitive matters) and provide structured risk input to decision-makers.
- Deliver and oversee training for US lawyers and staff (induction and refreshers) on conflicts, engagement governance, ethical screens, confidentiality, information handling, and related risk topics.
- Maintain key US registers (e.g., screens/barriers, waivers, exceptions) and produce concise management information and periodic reports for US leadership and the Partnership Board.
- Line-manage and develop the US Risk & Compliance team; set standards for quality, turnaround times and stakeholder service; contribute to resourcing and budget planning.
- Provide recommendations and set required conditions (e.g., screens, waiver wording, engagement terms, additional diligence) to facilitates sign-off high-risk accept/decline decisions.
- Escalate matters that are high-risk, novel, time-critical or cross-border to the appropriate approving partner/committee and the International Risk & Compliance Director, and coordinates documentation of rationale and evidence.
- In conjunction with the Europe and APAC Heads of Risk & Compliance, overseeing the preparation of the firm's Annual Declaration process and ensuring its timely completion.
- Ensure registers are properly maintained, draft regular reports to keep the US Regional Divisional Leaders in each Department informed of relevant risk and compliance issues and liaise with the International Risk & Compliance Director and US Claims Counsel regarding issues of which they should be aware.
- Oversee the Market Abuse/Insider Dealing requirements applicable in the US, liaising with appropriate partners.
- Work with the global business continuity teams.
This list of duties and responsibilities is not exhaustive. It is intended to describe the general content of, and requirements for the performance of this job, and as such, the role may also include the undertaking of additional tasks as required.
Key Skills and Experience - Juris Doctor (JD) (or equivalent) and active US bar admission in good standing.
- 6-8+ years' experience in law-firm risk & compliance, office of general counsel, professional responsibility/ethics, conflicts, or closely related areas, including people leadership.
- Demonstrated expertise in conflicts (new matters and lateral hires), engagement/waiver governance, and the design and operation of ethical screens/information barriers.
- Experience reviewing outside counsel guidelines, RFP terms, and negotiating non-standard engagement provisions.
- Proven ability to advise senior stakeholders with sound judgement, discretion, and a practical, solutions-focused approach.
- Excellent written and verbal communication skills; confident trainer; able to influence partners and drive adoption of controls.
- Strong operational discipline: prioritization, project management, and delivery under time pressure.
- Experience with conflicts/NBI platforms (e.g., Intapp) strongly preferred; able to design/optimize workflows and data quality controls.
- Be proactive in the identification of risks and identifying solutions to mitigate them.
- You will be based on the US East Coast and willing to travel between its three offices there and the three offices in California, as necessary, and to make occasional trips to London. This is a permanent, full-time position, working Monday to Friday, 40 hours per week although flexibility is required.
