Description of the Business Line or Department
The Kleinwort Hambros legal department is part of the legal function of the Societe Generale Group and must comply with the Charter of the Societe Generale Group Legal Function.
The legal team for Kleinwort Hambros supervises the activities of the Kleinwort Hambros group of companies based in the United Kingdom, Jersey, Guernsey, Gibraltar and Singapore.
Summary of the key purposes of the role
- To ensure the legal security, certainty and conformity of the activities exercised by the Kleinwort Hambros group entities including best practice as regards corporate governance and ensuring a robust control framework across the Kleinwort Hambros group;
- To proactively identify and participate in managing the legal operational risks and opportunities, including prevention and monitoring of litigation, relevant to the Kleinwort Hambros group;
- To participate in the effective management of external legal resources and exposure; and
- To support the activities and operations of the services offered across the Kleinwort Hambros group.
Summary of responsibilities
- Work with Senior Legal Counsel, the Group Head and Deputy Group Head of Legal to support the business activities across the Kleinwort Hambros group;
- Analyses the legal risks of the activities and operations offered to customer and prospective customers, in particular:
- the activity of wealth planning and fiduciary activities (mainly private client trusts and institutional fiduciary services);
- provision of credit services;
- financial services regulation and their impact on the Kleinwort Hambros group;
- financing documentation and implementation of guarantees;
- contracts with financial intermediaries and other commercial contracts with third parties; and
- new products and services;
- Ensures compliance with the SG Legal Handbook and Legal Function Charter such that Kleinwort Hambros legal policies and procedures reflect SG Policy and directives, best practice and current law and are applied consistently across the Kleinwort Hambros group to enable each entity to comply with all relevant legal and regulatory requirements in each jurisdiction;
- Cooperates in any significant issue/investigation (including client complaints, employee actions etc) within the Kleinwort Hambros group and in co-ordination with SEGL/JUR/RJC for any major litigation or dispute including the treatment of litigation;
- Assists on files or requests coming from the SG Private Banking Head Office legal department;
- Participates in the work of the Legal function of the Société Generale group (including the reporting tool, legal function works and SG legal and regulatory watch etc);
- Assists in ensuring the delivery of a legal and regulatory watch for the Kleinwort Hambros group is completed and senior management are regularly appraised of material legal and regulatory changes;
- Participates in internal training programmes and continues to maintain up to date and relevant legal education through internal / external seminars;
- Coordinates the update and maintenance of the Kleinwort Hambros Group precedents;
- Participates in developing relationships with external legal suppliers to ensure an appropriate, efficient and cost-effective provision of external legal support to the Kleinwort Hambros group; and
- Performs all duties in accordance with the principles outlined in the Kleinwort Hambros Code of Conduct, as well as the policies and procedures relevant to your responsibilities, to ensure that you adhere to a culture that treats clients fairly and focuses on the long term sustainability of client relationships.
Level of Autonomy and Authority
Provision of English law advice