About the job
Key Responsibilities
Regulatory & Compliance
- Facilitate the execution and oversight of SRA Standards and Regulations, including the Codes of Conduct applicable to Firms and Individuals.
- Assist in identifying, investigating, documenting, and reporting breaches related to COLP and COFA.
- Support the maintenance of systems and controls necessary under the SRA regulatory framework.
- Aid lawyers in managing risks at the matter level, including client expectations, scope, and engagement terms.
- Contribute to the formulation, implementation, and upkeep of internal policies, procedures, and compliance frameworks.
- Stay informed on regulatory changes and evaluate their implications on the firm’s operations, policies, and procedures.
- Assist with regulatory reporting obligations as needed.
- Ensure accurate record-keeping for governance committees and regulatory reporting.
Governance
- Prepare and submit annual returns and confirmation statements.
- Draft, review, and file corporate documents, including Board and shareholder resolutions and amendments to articles of incorporation.
- Maintain statutory registers.
Insurance
- Support the management of the firm’s insurance program, encompassing professional indemnity insurance (PII) and other corporate insurance policies.
- Assist with insurance renewals, broker engagement, and policy reviews.
- Provide internal advice on insurance coverage, policy interpretation, and risk mitigation strategies.
- Support the management and investigation of potential claims and notifications to insurers.
- Coordinate internal information gathering and documentation for matters related to insurance.
Compliance Monitoring
- Conduct regular compliance reviews and monitoring activities within business units, including file assessments.
- Escalate potential breaches or concerns as necessary.
- Analyze trends in breaches, complaints, claims, and risk indicators to identify emerging risks.
Risk Management
- Collaborate closely with the Risk Director to identify, evaluate, and manage legal and operational risks across the firm.
- Assist in the development and continuous enhancement of the firm’s risk management framework and governance processes.
- Support internal investigations, incident management, and risk reviews as needed.
- Contribute to the preparation of risk reports and internal risk management documentation.
Commercial Contracts
- Draft, review, negotiate, and advise on a diverse range of commercial contracts related to the firm’s business operations.
- Provide legal counsel on supplier agreements, technology contracts, outsourcing arrangements, and other commercial agreements.