Responsibilities
- Develop, implement, and maintain the firm's compliance program and compliance policies
- Monitor changes in laws, regulations, and professional rules and assess their impact on the firm
- Ensure that conflict checks, client acceptance, and anti-money-laundering procedures are applied consistently
- Plan and conduct compliance risk assessments and monitoring reviews
- Investigate suspected breaches and report findings and recommendations to the Managing Partner
- Ensure that compliance training is delivered and that attendance and effectiveness are tracked
- Manage the whistleblowing and reporting channels and protect those who report concerns
- Coordinate communication with regulators, professional bodies, and external auditors
- Advise partners and staff on compliance questions and escalate material risks without delay
- Report regularly on compliance status, incidents, and corrective actions to the Executive Committee
Authorities
| Decision / Action | Scope or limit | Escalate to |
|---|---|---|
| Approve or reject client and matter acceptance on compliance grounds | All new clients and matters | Managing Partner |
| Suspend work on a matter pending resolution of a compliance concern | Matters with a suspected serious breach | Managing Partner |
| Initiate internal compliance investigations | All departments and personnel | Managing Partner |
| Approve changes to compliance procedures and templates | Compliance documents | Executive Committee |
| Engage external compliance advisors | Up to 20,000 EUR per year | Managing Partner |
| Report to regulators | Mandatory reports under applicable law | Managing Partner |
Competencies
| Competency | Required level | Evidence (training, certificate, experience) |
|---|---|---|
| Legal and regulatory knowledge (professional rules, anti-money-laundering, sanctions) | Expert | Law degree and admission to the bar; 8+ years of experience in legal practice or compliance |
| Compliance program management | Advanced | Certified compliance qualification (e.g. CCEP, ICA) or equivalent experience |
| Risk assessment and monitoring | Advanced | Documented risk assessments and reviews |
| Investigation and reporting | Advanced | Documented investigation experience |
| Data protection and information security awareness | Intermediate | GDPR training |
| Communication and independence | Expert | Track record of advising senior partners and engaging with regulators |
