Compliance Attorney

The ONeil Search Group; New York (NY); On-site; USD 90,000 - 130,000; Full time

Job summary

The ONeil Search Group is seeking an attorney compliance professional to manage engagement letters, client questionnaires, and NDAs while overseeing vendor contracts and outside guidelines. You will liaise with senior counsel, prepare responses, and maintain compliance repositories.

Responsibilities include conflict analysis, business development compliance initiatives, and providing evening/on-call coverage as needed. A structured, detail-oriented approach is required.

Responsibilities

• Review client engagement letters.
• Monitor engagement letter compliance.
• Maintain repository of client engagement letters.
• Consult with Associate General Counsel and Assistant General Counsel regarding engagement letter questions and liaising with responsible lawyer(s) in responding to client requests.
• Assist in preparation of engagement letters.
• Review client Outside Counsel Guidelines and prepare draft responses regarding same.
• Consult with Associate General Counsel and Assistant General Counsel regarding responses to client Outside Counsel Guidelines and liaise with responsible lawyer(s) regarding same.
• Monitor status of Outside Counsel Guidelines responses and correspondence regarding same.
• Maintain repository of client Outside Counsel Guidelines.
• Review client due diligence and information security questionnaires to identify compliance and risk issues and prepare draft responses regarding same.
• Review Terms and Conditions associated with RFPs, Codes of Conduct, or other client requests and prepare draft responses regarding same.
• Review and mark-up NDAs and advise lawyers regarding same.
• Client Marketing Restrictions. Maintain the system for tracking and implementing client marketing restrictions. Primary responsibilities include analyzing and responding to inquiries regarding restrictions and consent, and developing training materials.
• Attorney Advertising. Address issues involving applicable rules of professional responsibility and Firm policy as they relate to attorney advertising. Primary responsibilities include monitoring legal developments, reviewing Firm communications for compliance with applicable rules, and developing training materials.
• Social Media. Maintain compliance with applicable rules of professional responsibility relating to attorney use of social media. Primary responsibilities include updating Firm policy, responding to attorney inquiries regarding social media profiles, reviewing the Firm’s use and development of blogs and microsites, and developing training materials.
• Support business services personnel by liaising with the Firm’s Vendor Management Office ("VMO") in the review and revision of vendor contracts.
• Advise VMO contract reviewers with respect to provisions that create risk for the Firm, including representations and warranties, limitations of liability, indemnification obligations, etc.
• Review of lateral attorney candidate conflicts reports (which are based on prior work history). Identify and analyze potential conflicts.
• Communicate with the candidate and relevant attorneys regarding potential conflicts.
• Draft conflicts waiver request letters for review by Deputy General Counsel. Waiver request letters will be communicated by or on behalf of the Deputy General Counsel to the lateral candidate’s current law firm.
• Implement ethical walls, as appropriate.
• Consult with Managing Attorney to ensure appropriate notifications to government agencies and courts, as appropriate.
• Accurately document conflicts resolution, including waivers obtained or relied upon, as applicable.
• Evening and weekend on-call coverage.
• Special Projects, as needed.

Job description

Essential Duties and Responsibilities

Typical responsibilities include, but are not limited to, the following:

Engagement Letter Compliance

• Review client engagement letters.


• Monitor engagement letter compliance.


• Maintain repository of client engagement letters.


• Consult with Associate General Counsel and Assistant General Counsel regarding engagement letter questions and liaising with responsible lawyer(s) in responding to client requests.


• Assist in preparation of engagement letters.

Client Outside Counsel Guidelines

• Review client Outside Counsel Guidelines and prepare draft responses regarding same.


• Consult with Associate General Counsel and Assistant General Counsel regarding responses to client Outside Counsel Guidelines and liaise with responsible lawyer(s) regarding same.


• Monitor status of Outside Counsel Guidelines responses and correspondence regarding same.


• Maintain repository of client Outside Counsel Guidelines.

Client Questionnaires, Codes of Conduct, NDAs and Other Requests

• Review client due diligence and information security questionnaires to identify compliance and risk issues and prepare draft responses regarding same.


• Review Terms and Conditions associated with RFPs, Codes of Conduct, or other client requests and prepare draft responses regarding same.


• Review and mark-up NDAs and advise lawyers regarding same.

Business Development Compliance Initiatives

Support the Business Development Group’s compliance with applicable rules of professional responsibility in connection with external communications. Particular areas of support include the following:

• Client Marketing Restrictions. Maintain the system for tracking and implementing client marketing restrictions. Primary responsibilities include analyzing and responding to inquiries regarding restrictions and consent, and developing training materials.


• Attorney Advertising. Address issues involving applicable rules of professional responsibility and Firm policy as they relate to attorney advertising. Primary responsibilities include monitoring legal developments, reviewing Firm communications for compliance with applicable rules, and developing training materials.


• Social Media. Maintain compliance with applicable rules of professional responsibility relating to attorney use of social media. Primary responsibilities include updating Firm policy, responding to attorney inquiries regarding social media profiles, reviewing the Firm’s use and development of blogs and microsites, and developing training materials.

Vendor Management Office Contract Review

• Support business services personnel by liaising with the Firm’s Vendor Management Office ("VMO") in the review and revision of vendor contracts.


• Advise VMO contract reviewers with respect to provisions that create risk for the Firm, including representations and warranties, limitations of liability, indemnification obligations, etc.

Lateral Attorney Conflicts Analysis

• Review of lateral attorney candidate conflicts reports (which are based on prior work history). Identify and analyze potential conflicts.


• Communicate with the candidate and relevant attorneys regarding potential conflicts.


• Draft conflicts waiver request letters for review by Deputy General Counsel. Waiver request letters will be communicated by or on behalf of the Deputy General Counsel to the lateral candidate’s current law firm.


• Implement ethical walls, as appropriate.


• Consult with Managing Attorney to ensure appropriate notifications to government agencies and courts, as appropriate.


• Accurately document conflicts resolution, including waivers obtained or relied upon, as applicable.

General Responsibilities

• Evening and weekend on-call coverage.


• Special Projects, as needed.