Compliance Counsel

Global Law Firm’s Downtown LA Office; Direct Hire; Salary Open DOE

Department: Conflicts of Interest

Reports To: Senior Deputy Conflicts Counsel

FLSA Status: Exempt


Exercises discretion and independent judgment while working under the general direction of the Senior Deputy Conflicts Counsel and according to established Firm policies and procedures. The Compliance Counsel will be responsible for assisting in the review and approval of conflicts forms, assisting in the clearing of Prior Legal Affiliation forms and compliance functions including management of entire outside counsel guidelines process, management of client groups, resolving all wall issues, drafting engagement and waiver letter templates and additional responsibilities as outlined below. The Compliance Counsel will also serve as back-up when necessary to Deputy Conflicts Counsels, Lateral Conflicts Attorney, Conflicts Attorneys/Senior Analyst. Maintains professionalism and strict confidentiality in all client and Firm matters.

Essential Duties and Responsibilities include, but may not be limited to, the following. Other duties may be requested and/or assigned. Essential functions are primary job duties that an individual must be able to perform successfully with or without a reasonable accommodation. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.

  • Assisting in the review and approval of conflicts forms. Initiating objective discussions with conflicted and submitting attorneys, Conflict Department Staff, Conflicts Attorneys/Senior Analyst and General Counsel to negotiate and resolve potential conflicts. Provide clear documentation regarding resolutions to Conflict Department staff.
  • Responsible for the entire outside counsel guidelines process. Review terms of all new and existing outside counsel guidelines (OCGs), and/or Request for Proposals (RFPs), route OCGs/RFPs to specific departments and General Counsel for approval pointing out potential issues for concern.
  • Maintain database of policies and restrictions required by OCGs (e.g. security requirements, record retention, eDiscovery, conflict issues etc.) and ensuring all agreed to OCG requirements are carried out by various departments. Maintain affiliate watch list and monitor OCGs for corporate affiliation lists ensuring that the Conflicts database contains the most recent corporate affiliations list provided by client.
  • Tracking all OCG/RFP approvals and also making sure engagement letters are consistent with OCGs.
  • Assisting in the clearing of Prior Legal Affiliation forms. Providing back-up/additional coverage to the Lateral Conflicts Attorney.
  • Responsible for fully resolving and approving resolution of wall issues and adding or removing attorneys and staff to existing walls. Monitoring daily alerts pertaining to walls and following up to confirm issues are resolved. Establishing walls as necessary or delegating establishment of walls when appropriate.
  • Assist with training various positions within the Department and documenting training material and procedures as requested.
  • Monitor compliance with HIPAA procedures and maintain library of BAA’s. Monitor and update Restricted List. – this more of an HR tasks.
  • Draft/update form engagement letter and waiver templates.
  • Assist attorneys with drafting of waiver or engagement letters upon request. Management of client groups.
  • Monitor OCG mailbox.
  • Provide back-up/additional coverage to Deputy Conflicts Counsels as necessary.
  • Facilitate conflict-clearing process by prescreening/clearing reports and communicating directly with appropriate attorneys, Conflicts Counsel, and other Conflict Department personnel as needed when proving back-up/additional coverage to Conflicts Attorneys/Senior Analyst.
  • Maintain up-to-date knowledge of the American Bar Association (ABA) Model Rules of Professional Conduct and jurisdictional differences in all states in which the Firm conducts business. Perform research and incorporate laws of other countries, such as The Solicitor’s Regulation Authority rules in the United Kingdom, into the Firm’s internal policies and procedures.
  • Maintain a thorough working knowledge of the Conflict database and other technologies that support the daily operations of the Conflicts Department.
  • Ensure consistent application of Firm policy and adherence to risk management guidelines, as defined by the Firm’s legal malpractice carrier, to minimize potential malpractice exposure.
  • Participate in the training and education of attorneys and other Firm staff on Firm policies and procedures relating to the Conflict of Interest Department.
  • Participate in the development and mentoring of Conflict Department peers, including training on conflicts systems and Departmental and Firm policies and procedures.
  • Travel to other Firm office locations as needed.
  • Must have and maintain internet access and ability to work remotely after hours as business needs dictate.
  • Ensure exceptional client service levels are achieved in delivery of services to secretaries, paralegals, attorneys, and vendors.
  • Participate in after-hours rotation to cover urgent conflict issues that arise outside normal hours of the department.
  • Assist with special projects as requested by Deputy Conflicts Counsel or Conflicts Counsel.

Supervisory Responsibilities:

  • This position has no direct supervisory responsibilities; however, has the authority to delegate work within the Department relating to Conflicts-related tasks.

Knowledge, Skills, and Abilities:

  • Juris Doctorate (J.D.) is required. Must be licensed to practice law in the United States. Two or more years professional legal experience is preferred. Strongly prefer proven skills in identifying, analyzing and resolving Conflict of Interest issues while working within a Conflicts Department or equivalent experience.
  • Knowledge of and proficiency in relational databases such as MS SQL, LegalKEY, Compliguard and CMS Open are highly desired. In addition, proficiency in Microsoft Office applications (Word, Excel, Explorer, and Outlook) with the ability to learn new software programs is required. Experience with online reference materials and Boolean searching techniques are also preferred.
  • Ability to learn and utilize specialized internal conflict checking software and multiple software applications and workflow processes of various departments. Issue spotting, follow-up, and resolution skills are essential.
  • Proven ability to provide a quality, accurate, and efficient work product in a high volume environment is necessary.
  • Ability to research and incorporate laws of other countries, such as The Solicitor’s Regulation Authority rules in the United Kingdom, into Firm internal policies and procedures.
  • Ability to analyze legal conflict of interest situations and articulate potential issues and suggest resolutions to attorneys.
  • Excellent organizational skills including record keeping, data collection, and system information. Ability to compile and analyze data and furnish concise, detailed information in written report format.
  • Exceptional interpersonal, verbal, and written communication skills. Ability to communicate with courtesy and in a diplomatic manner, efficiently follow written and verbal instructions, provide information, and maintain effective relationships with Firm Management and a diverse group of attorneys, clients, staff, and outside contacts.
  • Excellent analytical skills requiring an aptitude for detail, precision, and logic in order to conduct detailed analysis of complex conflict documentation, outside counsel guidelines, walls, conflict resolutions and waivers, and process large volumes of detailed, confidential information.
  • Exhibit high degree of initiative in exercising independent judgment with excellent troubleshooting, problem resolution, and follow-through skills in order to manage multiple projects simultaneously in a fast-paced, detail-oriented work environment and make decisions based upon results of searches and jurisdictional regulations. Ability to adapt to changes in workflow.
  • Ability to identify and analyze conflicts-related issues and inquiries and to recommend and implement solutions. Ability to respond effectively to the most sensitive conflict inquiries or complaints.
  • Ability to perform detailed mathematical calculations and apply mathematical concepts when computing, reconciling balances, verifying numerical data, and preparing various conflicts’ reports.
  • Ability to occasionally retrieve and distribute files, written documentation, or office supplies weighing up to 20 pounds.
  • Ability to occasionally travel to other Firm locations as needed.

Work Environment:

  • The work environment is characteristic of a normal office environment with moderate exposure to excessive noise, dust, temperature, etc.

The above is intended to describe the general content of and requirements for the performance of this job. It is not to be construed as an exhaustive statement of essential functions, responsibilities, and requirements. This position description may be modified in the future as necessary.