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Risk and Compliance Attorney

The Risk and Compliance Attorney is responsible for addressing internal questions from attorneys and professional staff relating to the negotiation and interpretation of client correspondence, providing instructive review and analysis, and otherwise leading practical implementation steps towards the achievement of securing mutually acceptable terms and conditions in accordance with the firm’s ethical responsibilities, applicable rules of professional conduct, recommended professional liability practices, and firm policies.

This non-practicing attorney position reports to the Director of Risk Management and works across several key functional areas. These include, but are not limited to, client engagement and new business intake, analysis and resolution of conflicts and related issues, conflict waiver drafting and follow-up, review and negotiation of all varieties of client agreements, engaging with strategic data privacy and information governance efforts, supporting the audit letter response process, coordination of ethical screening, issuance and management of litigation holds, and compliance with firm policies and objectives in these areas.

This position is eligible to participate in the firm's flexible work program.

SUPERVISORY RESPONSIBILITIES:

When appropriate, assists with recruiting, interviewing, hiring, and training new staff in the department
Oversees the daily workflow of team members
Provides staff with constructive and timely performance feedback and evaluations
Handles disciplinary process, including escalating employment matters to the head of the department and the Senior Director of Human Resources when necessary
Provides leadership and mentoring to staff, including on-going performance management, feedback and coaching, identification of training opportunities, and preparation of career development plans

OTHER RESPONSIBILITIES/ESSENTIAL FUNCTIONS:

Maintain primary responsibility for comprehensive institutional review and analysis of client engagement terms, including Outside Counsel Guidelines, engagement letters, nondisclosure agreements, and other contractual documents; coordinate with internal subject matter experts as needed regarding review and reconciliation of terms of engagement and other client requirements
Establish and manage negotiation strategies and follow-up steps with attorneys, and across multiple departments, in accordance with best practices for addressing client terms that pose potential issues for the firm
Ensure that resolution of all issues relating to Outside Counsel Guidelines and similar client agreements are reached, that finalized documentation is secured, and that recordkeeping of client engagement letters, terms and conditions, and other agreements are filed in a complete manner in all relevant locations
Coordinate cross-functional teams to encourage active participation in review and assessment of Outside Counsel Guidelines and client engagement terms while maintaining attention to policies, procedures, and firm objectives
Take action on addressing any commentary, findings, or recordkeeping omissions encountered during the Outside Counsel Guidelines review process (e.g., no engagement letter identified for a current client; issue spotting for other departments; reminders and follow-ups for other reviewers)
Respond to requests by attorneys for assistance with preparing specialized engagement letter terms and reviewing other client tendered letters and agreements; draft and provide recommended edits along with supporting business rationales; answer ongoing questions; and otherwise engage in all rounds of editing, review and negotiation as needed for a client or prospective client
Provide assistance to attorneys with obtaining necessary firm approval for exceptions to standard terms and conditions (e.g., advance waiver language modifications), for serving in outside roles, and for other ad hoc requests that require General Counsel oversight
Assist attorneys with navigating client questionnaires regarding legal and regulatory developments by providing responsive content relating to ethics and risk management topics where applicable; shepherd and facilitate participation by other administrative departments on various subjects
Respond to requests for assistance relating to marketing and business development submissions, such as request for proposals (RFPs) and preferred provider programs, merger and acquisition announcements by current clients, etc. that may require descriptions of risk management processes, supplemental conflict checks, identification of current conflicts, or similar content that must be reviewed and formally summarized prior to release
Review contracts received from firm vendors and other non-client entities to identify potential compliance issues; provide guidance and recommendations to ensure alignment with legal requirements and firm business objectives
Coordinate procedures for processing requests from former employees (e.g., former Paralegals or Summer Associates) regarding prior client/matter work history for purposes of conflict checking by outside law firms and releasing such information, after appropriate collaboration and review
Provide strategic research, report on findings, and provide recommendations on a broad range of regulatory and compliance matters affecting the firm’s operations and business practices
Conduct periodic risk assessments and develop proactive strategies and policies to mitigate legal and regulatory exposure; collaborate with key internal leaders on findings; work with Director of Risk Management on implementation of initiatives and workplace policies to address such findings and to carry out constructive recommendations provided by the firm’s professional liability insurer
Assist with the client intake and engagement process to identify and mitigate legal risks; ensure compliance with applicable laws, regulations, professional responsibility rules, and firm policies in connection with the terms of engagement; facilitate understanding and cooperation of attorneys and administrative assistants for achieving adherence to procedures that align with these principles
Assist with management and quality assurance of the new business intake process; provide direct, interactive support to attorneys and participate in consultations relating to the new business intake process; play an active role in explaining, drafting and reviewing conflict waivers
Work with attorneys on ethical screen structuring, attorney polling, memo drafting, and issuance of ethical screens from both technical and substantive perspectives
Provide support for executing audit letter procedures and aid in ethics oversight; collaborate with Audit Letter staff to implement practices for continual improvement
Collaborate with internal leaders to help ensure compliance with data privacy laws and best practices for cybersecurity and information governance protocols
Monitor legal and regulatory developments and conduct legal research to support firm initiatives and ensure ongoing compliance with emerging topics of significance
Develop training programs and produce educational materials that raise awareness of compliance and risk topics for the firm
Prepare demonstrative guides and materials to educate others and evaluate current new business intake, client guidelines terms, and audit letter workflow technologies to identify and remedy technological challenges
Lead or support special projects and strategic initiatives as directed, ensuring alignment with the firm’s legal and operational priorities
Provide after hours and weekend coverage as needed for urgent confidential matters and to ensure exceptional client service to attorneys and staff

KNOWLEDGE, SKILLS, AND ABILITIES:

Excellent verbal, written, and presentation skills with the ability to synthesize and clearly communicate ideas to varying audiences
Proven experience with leading cross-functional initiatives and policy implementation
Exceptional research and analytical skills with the ability to translate nuanced legal issues into relevant business context, and provide actionable guidance to others
Strong interpersonal skills with the ability to build and maintain relationships across all levels of the firm and with external contacts
Demonstrate high degree of initiative and ability to exercise sound judgment and decision-making skills
Possess proven problem-solving abilities and a proactive approach to addressing challenges
Strong organizational skills, with the ability to manage competing priorities and adapt seamlessly to dynamic and evolving situations
Ability to handle confidential and sensitive information with discretion
Excellent attention to detail and strong commitment to producing high quality work

EDUCATION AND EXPERIENCE:

Juris Doctor from an ABA accredited law school required.
Active membership in good standing in at least one U.S. state bar.Current DC bar membership preferred.
Minimum five (5) plus years of legal experience in a law firm or professional services environment, with a focus on compliance, conflicts, and operational support.
Knowledge of and experience with contract negotiation, review of legal documents, and legal risk assessment.

WORK ENVIRONMENT:

An on-site presence is an essential function of this position. Remote work may be permitted in accordance with the firm’s flexible work policy and based on business needs
Position operates in a professional office environment which is usually quiet to moderate
Position routinely uses standard office equipment such as computers, phones, photocopiers, and filing cabinets
Position requires that the employee be able to multi-task in a fast-paced work environment

PHYSICAL DEMANDS:

This position is primarily a sedentary position. However, some duties and responsibilities may require the employee to lift files, open filing cabinets, bend or stand, reach with arms and hands, climb or balance, occasionally move about to access office equipment, file cabinets, etc.
May require employee to carry or lift items weighing up to 10 pounds

OTHER DUTIES AND EXPECTATIONS:

Meets the department’s expectations to retrieve, read and/or respond to firm and client-related e-mail messages during and outside of core business and scheduled work hours by connecting a personal mobile device (smartphone or tablet with a data plan) to the firm’s network
This description outlines the basic requirements of this position; it is not intended to be a complete description as other duties may be assigned

The base salary for this position is expected to be between $180,000 to $205,000 annually. Actual salary will be determined based on skills, experience (to the extent relevant) and other job-related factors, consistent with applicable law.

Wiley’s comprehensive benefits package includes medical and prescription drug plan coverage, dental, vision, flexible spending and health savings accounts, life insurance, 401(k) retirement plan with firm discretionary contribution, generous paid time off (PTO) package plus ten firm paid holidays, access to state of the art on-site fitness facilities and locker rooms and wellness programming, paid parental leave and subsidized backup child/elder care, and more.

Wiley is committed to providing an environment of mutual respect where equal employment opportunities are available to all applicants and employees without regard to race, color, religion, sex, pregnancy, national origin, age, physical and mental disability, marital status, sexual orientation, gender identity or expression, genetic information, military and veteran status, personal appearance, family responsibilities, political affiliation, matriculation status, credit information, status as a victim or family member of a victim of domestic violence, a sexual offense or stalking, homeless status, or any other characteristic protected by applicable law.

**This Organization Participates in E-Verify. This employer will provide the Social Security Administration (SSA) and, if necessary, the Department of Homeland Security (DHS), with information from each new employee’s Form I-9 to confirm work authorization. Employers may not use E-Verify to pre-screen job applicants and may not limit or influence the choice of documents you present for use on the Form I-9.

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