Head of Compliance, United States

US Business Services Leadership

Job Description

We are a global law firm with a powerful strategic focus and real momentum. Our industry-focused strategy is seeing us take on pioneering work in places that others have yet to reach. Our shared values define our culture and our workplace. You will find us to be unusually collegial, team-oriented, and ready to innovate. We work seamlessly across practices, offices and around the world. This elimination of boundaries has allowed us to evolve into a law firm that works as hard for its culture as it does for its clients.

The Role

The US Head of Compliance is a partner-level position that leads a team of over 30 lawyers and analysts in Houston, Austin, Dallas, and San Antonio responsible for the Firm’s new client and new business intake, including identifying and resolving all professional responsibility concerns (including but not limited to ethical and business conflicts of interest) and the identification and remediation or resolution of all associated risks. The US-based Compliance Team is a part of the US General Counsel Office and reports to the Chief Legal Officer and collaborates with NRF Compliance Teams in Australia, Canada, EMEA, and South Africa.

We will consider candidates in any US city where we have an office. The position requires a commitment to work outside of regular business hours.

Responsibilities include, but are not limited to:

• Oversee the identification and resolution of all professional responsibility issues and risks associated with new client and new matter/business intake, and with new lateral partner and other attorney hires. Among other things, this includes ensuring the Firm’s compliance with all applicable legal and ethical requirements, whether arising under state bar disciplinary rules, sanctions laws, or other regulations
• Implement the Firm’s policies as set forth in the NRF Conflicts Principles, in written guidance adopted by NRFUS Management Committee and Global Executive Committee, and the internal operating procedures of the US Compliance Team
• Enforce and oversee training regarding Norton Rose Fulbright’s Global Practice Standards addressing stock and share dealings, external appointments, prohibitions on bribery, corruption and discrimination, compliance with economic sanctions, anti-money laundering requirements and (in collaboration with others) cyber security considerations
• Implement the Global Partner Conflict Standard, including setting an example for others to follow; offer consultation, education, advice, encouragement and support regarding the Global Partner Conflict Standard’s requirements
• Oversee the implementation of the Firm’s requirement that there be written terms for every client and matter; work with other regions to increase compliance with this requirement abroad
• Review and approve all appointments for a Firm attorney to act as an arbitrator, mediator, or designated neutral
• Refine, implement, and maintain strategies, processes, procedures and practices designed to simplify, enhance and expedite the conflicts clearance and new business intake processes
• Monitor and ensure compliance with established conflicts checking policies, processes and procedures; conduct periodic audits and assessments to identify and address compliance risks
• Possess, maintain, and share with others a thorough knowledge of the following ethical frameworks and the case-law regarding same:
  • ABA Model Rules of Professional Conduct and Comments
  • Rules of professional conduct for jurisdictions where NRFUS has offices
  • Law Society of England and Wales
  • Solicitors Regulatory Authority (UK)
  • Significant UK and EU legislation, including the Anti-Money Laundering Regulations
  • Australia and its various states
  • Canada (including provinces of Alberta, British Columbia, Ontario, and Quebec)
  • Republic of South Africa
• Review and assess outside counsel guidelines and other client terms in collaboration with the US Chief Legal Officer; escalate to practice leaders or Firm management as needed
• Investigate and respond to suggestions or threats of disqualification in collaboration with the partner(s) handling the underlying matter; be prepared to appear as counsel for the Firm; to provide briefing support to partner(s) handling the underlying matter; and if necessary, to provide evidence through affidavit or testimony
• Assist the US General Counsel Office as required in responding to requests for information from clients and others on sensitive issues or on potential claims, including by subpoena or other discovery; identifying, investigating, and handling potential claims against the Firm; and identifying potential risks to the Firm, especially those associated with the intake of new clients or new matters
• Take appropriate steps to assure that the Firm’s communications are protected by privilege, as appropriate
• Handle all internal appeals under the NRF Conflicts Principles
• Provide or assist with risk assessments as required for professional liability insurance, Global Audit Committee, and ad hoc questions from partners and management
• In collaboration with other NRF regions, oversee the integration of Intapp Open upgrades and implementation of additional modules
• Supervise and evaluate US Compliance Team management and senior compliance lawyers, with overall responsibility for supervision of broader compliance team; serve as mentor for all compliance lawyers
• Prepare annual budget and engage in long-term planning
• Oversee development and implementation of training programs for US partners, lawyers, practice coordinators, and Compliance Team
• Conduct periodic training sessions on ethical issues and requirements related to client and matter intake, the engagement letter process, the Conflicts Principles, and the Global Practice Standards, and craft communications to promote awareness and compliance throughout the Firm

Other duties

Please note this job description does not cover or contain all activities, duties or responsibilities that are required of the employee for this job. Duties, responsibilities and activities may change at any time with or without notice.

Skills and experience required:

• Juris Doctor (J.D.) from ABA-accredited law school
• Licensed to practice law in one or more States in which Norton Rose Fulbright US LLP has an office
• Ideally a law firm partner with substantial first chair litigation experience arising out of complex commercial disputes, or alternatively, a partner with substantial responsibility for negotiating complex commercial agreements
• 10+ years of experience as a practicing lawyer, ideally including as a partner
• Substantial experience leading the compliance program of a large law firm or as general counsel or associate general counsel with primary responsibility for client and matter intake (CMI), conflicts and risk issues, and engagement letter negotiation
• Experience supervising a team of lawyers and non-lawyers
• Ideally has defended/tried multiple legal malpractice claims involving alleged violations of US ethics rules
• A thorough acquaintance with and working knowledge of US conflicts rules, UK conflicts, Anti-Money Laundering statutes, and other applicable laws and regulations
• Understanding of a verein structure and experience working in an international firm, ideally with working knowledge of Intapp Open and Intapp Terms
• Highly intelligent with excellent commercial judgment
• Strong written and oral communication skills and experience operating in a multi-cultural environment
• Sufficient maturity and judgment to work successfully and confidently with all levels including senior management and partners
• Be sufficiently confident to exercise risk-based judgment calls on a daily basis
• Be familiar with a lawyer’s duties regarding confidentiality, privilege and client care
• Appreciation for full-service law firm’s diverse range of clients and practices, and of their competing needs
• Highly analytical with an ability to anticipate potential problems and creatively propose/implement solutions
• High degree of discretion with confidential information
• Proficient in Intapp Open and Intapp Terms
• Proficient in Microsoft Office

Employees are entitled to compensation commensurate with skill and experience. The full time base annual salary for this position in California, Colorado, New York, and Washington, DC markets is expected to range between $300,000 and $450,000. This range represents the firm’s good faith and reasonable estimate of the range of possible compensation at the time of posting for a position in California, Colorado, New York or Washington, DC. Salaries in other markets will vary depending on market data. Bonus opportunities are non-guaranteed and are dependent upon individual and firm performance.

Norton Rose Fulbright US LLP is an Equal Opportunity/Affirmative Action Employer and complies with all applicable federal laws and their implementing regulations that require the collection and recording of certain data and information. The information we receive will not be used to make any decision regarding employment and will be kept separate from your application. Similarly, self-identification information is kept confidential and used only in accordance with applicable federal laws and regulations. Qualified applicants will receive consideration for employment without regard to race, color, religion, sex, national origin, sexual orientation, gender identity, disability or protected veteran status. Norton Rose Fulbright is committed to providing reasonable accommodation as an Equal Opportunity Employer to applicants with disabilities. If you require assistance or accommodation to complete your application, please contact [email protected]. Please provide your contact information and a description of your accessibility issue. We will make a determination on your request for reasonable accommodation on a case-by-case basis.

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