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Risk Management Compliance Manager

Job ID: 5511

Updated: Mar 5, 2021

Location: Chicago, IL, United States

Category: Conflicts Docket/Records Mgmt

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About Kirkland & Ellis

Kirkland & Ellis LLP is a preeminent, full-service law firm with offices around the world and a staff as diverse as the practice areas we support. Our clients range from Fortune 100 companies to medium and small corporations, financial institutions, and private equity firms.  Known for our commitment to excellence, Kirkland strives to provide superior service to our clients as well as our fellow employees. From Information Technology to Human Resources, Paralegal Services to Business Development, Kirkland offers non-attorney professionals challenging careers in a variety of functional areas. Whether starting or growing your career, Kirkland can offer a performance-driven culture filled with bright and innovative teams of co-workers.

Essential Job Functions

POSITION OVERVIEW

Kirkland & Ellis LLP has an opportunity for a Risk Management Compliance (RMC) Manager to join the Risk Management department.  The manager will work closely with the Office of the General Counsel, Partners and Of Counsel who assist with Risk Management, the Senior Director, Risk Management, and the Senior Advisor, Risk Management, to assess and manage the Firm’s compliance program. 

  • Manage all operational issues involving the RMC team and undertake a proactive and solution-minded approach re same.  Organize and plan decision-making associated with operational challenges.
  • Manage RMC team including recruitment of new staff, performance evaluations, and development and mentoring of team members.
  • Establish and maintain new methods and standards for audit letter processing, attorney bar registration, IRS compliance, lobbying compliance, and FINRA and SEC Compliance, with respect to consistency, accuracy and thoroughness.
  • Review, assess, recommend, and implement process, procedure, and technology improvements to ensure optimum customer service and efficiency.
  • Monitor, observe, and review performance of staff with respect to the progression of knowledge, skills, and the abilities of individuals within the department.
  • Oversee preparation of audit response letters at the request of the Firm’s clients.  Provide guidance on processes and best practices for preparation of audit letters that comply with the ABA Treaty on audit letters.  Assist with the review and approval of audit response letters for consistency and accuracy before the letters are sent to the responsible attorneys for signature. 
  • Manage collection of information for the Financial Industry Regulatory Authority (FINRA) on behalf of Firm clients.  Survey billers, liaise with coordinating attorneys and clients, and prepare response letters.
  • Ensure compliance with all bar registration requirements for Kirkland attorneys; oversee preparation of registration forms and payment of same; track and monitor bar registrations ; monitor Firm compliance with state and federal rules concerning pro hac vice appearances by Kirkland attorneys.  Educate attorneys on bar admission requirements and monitor pending admissions. Review and approve attorney expenses related to bar admissions.
  • Ensure compliance with IRS regulations requiring review and submission of required forms in certain instances at the end of corporate closings for clients via the intake system.
  • Manage lobbying registrations process across the Firm and act as a resource for attorneys with lobbying questions.

WORK ENVIRONMENT

  • This job operates in a professional office environment. This role routinely uses standard office equipment such as computers, phones, and photocopiers,

Qualifications & Requirements

Education, Work Experience, Skills

  • Bachelor’s degree required.  Master’s, JD or advanced degree preferred.
  • 7-9 years of experience in risk management, records management and compliance, library or information sciences, or legal assistance
  • Excellent communication, research, analysis, and organizational skills required.  Must have a strong customer orientation while working well under pressure.

Technologies/Software

  • Proficient in Microsoft Word, Excel, and the internet.

How to Apply

Thank you for your interest in Kirkland & Ellis LLP.  To complete an application and submit your resume, please click "Apply Now."

Equal Employment Opportunity

All employment decisions, including the recruiting, hiring, placement, training availability, promotion, compensation, evaluation, disciplinary actions, and termination of employment (if necessary) are made without regard to the employee’s race, color, creed, religion, sex, pregnancy or childbirth, personal appearance, family responsibilities, sexual orientation or preference, gender identity, political affiliation, source of income, place of residence, national or ethnic origin, ancestry, age, marital status, military veteran status, unfavorable discharge from military service, physical or mental disability, or on any other basis prohibited by applicable law.

Closing Statement

The www.kirkland.com job postings and recruiting mailbox are for candidates only. If you are a recruiter, search firm or employment agency, and do not have a signed contract with Kirkland & Ellis LLP ("K&E") and have not been asked specifically to submit candidates, you will not be compensated in any way for your referral of a candidate even if K&E hires the candidate. Direct contact with K&E employees in an attempt to present candidates is inappropriate and will be a factor in determining any future professional relationship with the Firm.