Compliance Attorney for Alternative Business Structure (ABS)

Title : Compliance Attorney for Alternative Business Structure (ABS)

The Compliance Attorney will serve as the designated compliance counsel for Legacy Legal Partners LLC, an Alternative Business Structure (ABS) seeking licensure under Arizona Supreme Court guidelines which permit non-lawyer ownership in legal services entities while mandating strict ethical and regulatory oversight. Reporting directly to Patrick Findaro and Jack Findaro, this role ensures the firm's adherence to professional ethics, regulatory requirements, and operational standards. The Compliance Attorney must be a licensed Arizona attorney in good standing and will act as an employee of the ABS. This position is critical to maintaining the firm's ABS certification, protecting client interests, and mitigating risks associated with multi-stakeholder ownership structures.

• Key Responsibilities

Ethical and Regulatory Compliance Oversight : Monitor and ensure all lawyers, authorized persons (including non-lawyer owners and managers), and firm personnel comply with the Arizona Rules of Professional Conduct (ERs), Arizona Supreme Court Rule 31, and other applicable regulatory requirements, such as those related to client funds, conflicts of interest, and advertising (e.g., ER 7.2 and Rule 5.3). Conduct reviews and training sessions on ethical obligations, including client contracts, fee structures, and client communications, to prevent violations and address potential risks in a non-lawyer ownership model.

Supervision and Reporting : Serve as the primary supervisor for ethical matters within the ABS, reviewing firm policies, procedures, and operations to confirm alignment with professional standards. Prepare and log compliance reports to the State Bar of Arizona.

Risk Management and Advisory : Advise firm leadership on risks, including :

• Conflicts of interest, if any
• Management of client funds, if any
• Maintaining client data protection and confidentiality
• Ensuring non-attorneys refrain from offering or providing legal advice or legal service
• Ensuring client contracts are fair and transparent and comply with ethical guidelines

Liaison and Representation : Act as the firm's liaison with the State Bar of Arizona on compliance inquiries, audits, or investigations.

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