Head Of Legal Ethics amp Professional Responsibility

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Head of Legal Ethics & Professional Responsibility

Duties: Assist the US Loss Prevention Partner in the provision of regulatory, professional ethics and compliance matters relevant to partners, other fee-earners and support staff throughout the firm’s US offices. Identify changes in applicable rules, regulations and standards within the US that are relevant to the Risk & Compliance team and propose necessary modifications to policies and procedures for consideration by the International Risk & Compliance Director, US Claims Counsel, and the US Loss Prevention Partner. Implement, maintain and monitor the use of standard forms and compliance with policies and procedures throughout the US, providing practical guidance as necessary. Liaise as appropriate with other members of the Risk & Compliance team, the firm’s US Claims Counsel, and the firm’s US Loss Prevention Partner in relation to resolving complaints and claims and reducing the likelihood of them happening again. Ensure registers are properly maintained, draft regular reports to keep the US Regional Practice 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. Ensure that Risk & Compliance Manuals relevant to the US are kept updated. Review conflict checks received via the New Business Initiative (‘NBI’) workflow process as necessary. Ensure that all clients and matters created via the NBI workflow process and any amendments to them are processed correctly and, where necessary, liaise with the Finance and/or Risk & Compliance teams in other offices. Supervise the setting up, management and updating of restricted groups and information barriers. Ensure that accurate records of client due diligence data are obtained where required, sending out reminders regarding outstanding client due diligence and pursue and secure its timely collection as necessary. Supervise the carrying out of research and analysis regarding potential clients as required. Ensure the High Risk Register is kept up to date and properly monitored. Deal with queries promptly across the different US offices (for example, regarding client identification where work is to be transferred to non-US offices, cash policy, etc). Liaise with relevant personnel within Withersworldwide regarding concerns about money laundering or terrorist financing and assist in relation to any reporting required. Undertake compliance and risk management training for staff in the US. Oversee the Market Abuse/Insider Dealing requirements applicable in the US, liaising with appropriate partners. Contribute to the preparation of the US Annual Declaration and ensure its timely completion. Work with the Crisis Management Team for the US to protect business continuity.

Company info

Withers
157 Church Street P.O. Box 426
New Haven
Connecticut
United States 06502
Website : http://www.withersworldwide.com/