Legal Counsel- Regulatory Compliance

4 weeks ago

Toronto ON, Canada Law Society of Ontario Full time

Intake & Resolution Counsel is responsible for the timely, accurate, and efficient review of complaints received and for the substantiation, streaming and disposition of regulatory files to other departments within the Regulatory Division. Intake & Resolution Counsel conducts a risk assessment, identifies the regulatory issues, and collects information/documentation to close or stream files. As part of the gatekeeper function for the Division, Intake & Resolution Counsel resolves and closes files where further investigation of the regulatory issues is not warranted. Intake & Resolution Counsel conducts a risk assessment of the regulatory issues identified in a complaint, as well as of the licensee’s status history, complaints history and discipline history. Intake & Resolution Counsel acts as a legal resource to the Intake & Resolution Officers and law clerks. Intake & Resolution Counsel conducts legal and other research, as is necessary.
B or JD and a member in good standing of the Law Society of Ontario.*
Training in Alternative Dispute Resolution/Mediation is considered an asset.
A minimum of 7 years’ related experience in private practice and/or legal experience with a Regulatory body or government environment with exposure to administrative law, specifically the areas of family law, real estate, estates, and civil litigation.
May be required to travel to attend at conferences and training programs.
Solid understanding of the Law Society’s mandate, services, legislation, and policies, including the Rules of Professional Conduct .
Solid knowledge of substantive law and procedures including the areas of real estate, estates, and civil litigation.
Familiarity with law office practice and procedures, and legal accounting.
Knowledge of current trends and developments in the legal profession and their practical application.
Expressive and persuasive in both spoken and written language in the review, assessment, substantiation, streaming and disposition of complaints.
Computer literacy, including Word Processing and Spreadsheet applications, the AS400, internet and intranet, and other Law Society applications.
*By submitting your application for employment, you agree to a clearance check of your regulatory history with the Law Society, and to the use of this information in assessing suitability for employment at the Law Society.
Client / Customer Service Planning
In collaboration with the Director, Manager and Team Manager, develops standards, procedures, templates, tools, and performance targets for use within the Intake & Resolution department and the Division.
Responsible for critically reviewing and conducting a risk assessment for all new cases assigned.
Prepares a range of documentation in relation to complaints, including substantiation letters, Requests for Instructions to Investigate, Transfer Memoranda, closing letters and other correspondence.
Identifies the regulatory issues and frames the regulatory case.
Resolves and closes files where further investigation of the regulatory issues identified is not warranted.
Where licensee conduct is already being investigated, Intake & Resolution Counsel co-ordinates with other Regulatory staff to develop a holistic, comprehensive response, while not jeopardizing other Regulatory actions.
Acts as a liaison with the Investigation Services, Trustee Services, Regulatory Compliance and Compensation Fund to ensure the consistent, accurate and timely intake and streaming of regulatory files, and the co-ordination of case management decisions.
Receives and reviews incoming complaints regarding conduct, capacity, good character, and unauthorized practice.
Critically reviews materials, determining the regulatory issues and substantiates complaints when information is lacking.
Communicates with complainants and/or licensees to obtain documentation in support of the complaint and provides practical solutions.
Conducts a risk assessment on all incoming cases.
Assesses merits of complaints, including strengths and/or weaknesses of regulatory issues raised.
Prepares a full range of documentation in relation to complaints including correspondence with complainants and licensees, Instructions to Investigate (including conduct, capacity, good character, and unauthorized practice), reports, closing letters and memoranda, and other correspondence.
Policy Development
Identifies, recommends, and drafts policies and other initiatives to address these issues.
Prepares legal research, reports, and analysis in support of policy development, as assigned by the Director, and/or Manager and/or Team Manager.
Works closely with other Counsel, Intake & Resolution Officers and law clerks, and staff in other Regulatory Departments, to ensure quality in the delivery of Intake & Resolution processes, resulting in a consistent approach to the timely and efficient review, substantiation and streaming of regulatory files.
Acts as a legal resource to Intake & Resolution Officers and law clerks to promote the sharing and transfer of legal knowledge and expertise among non-lawyers.
The Law Society has introduced a Distributed Workforce Model to leverage flexibility and agility, and to maximize employee productivity and engagement. The working arrangement for this position has been classified as hybrid, where the employee will regularly flex their work location between home and office. The Law Society of Ontario is an equal opportunity employer that is committed to diversity and inclusion. We welcome applications from persons representing the diversity of our community. We are committed to creating an accessible, barrier-free and inclusive workplace and are committed to continuing compliance with the Accessibility for Ontarians with Disabilities Act (AODA).

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