Manager, Risk and Compliance

6 months ago

Toronto, Canada Osler Full time

Osler, Hoskin & Harcourt LLP is one of Canada’s leading business law firms. Advising many of Canada’s corporate leaders, as well as U.S. and international parties with extensive interest in Canada, our more than 1,000 firm members are based in offices in Toronto, Montréal, Ottawa, Vancouver, Calgary and New York.

Osler prides itself on attracting and maintaining some of the brightest talent in the legal arena. Our lawyers, students, management and staff have created a unique firm culture which nurtures mentoring and the exchange of ideas. Osler is a dynamic and exciting place to begin a career or carve out a new path.

Reporting to the Director, Conflicts & Risk Management, the Manager, Legal Ethics & Risk will be responsible for managing the Firm’s risk management processes (with an emphasis on compliance), systems and activities, including national processes for lateral hires; outside counsel guidelines (OCGs); responding to regulatory requests for information; and our annual quality assurance program on a national level

**Major Responsibilities**
- Supervise and mentor the Ethics & Risk Specialists and OCG Analysts
- Manage the Firm’s outside counsel guidelines program
- Coordinate onboarding of laterals with Records team and New Business Intake team relating to matter transfers. Produce related reports as necessary
- Manage responses to client anti-corruption and compliance questionnaires
- Manage and respond to Regulatory requests for information ensuring responses comply with applicable privacy laws
- Manage the Annual Quality Assurance program
- Assist in the administration of legal professional departures, preparation of reports, liaising with lawyers, assistants, and other Firm Administrative departments, as required
- Is a key member of the Ethics & Conflict Committee, track issues, manage meetings, action items and circulate meeting minutes.
- Respond to queries relating to risk management at the Firm
- Participate in risk presentations to lawyers and assistants on aspects of risk related policy and regulation including providing guidance on ethical walls
- Manage and administer the Firm’s Ethical Wall process to comply with the Firm’s ethical responsibilities to maintain clients’ information in confidence
- Evaluate, develop and implement technology solutions
- Conduct routine compliance checks on compliance with various elements of the Firm’s risk management policies
- Monitor industry trends and standards
- Follow procedures and policies governing the Firm’s risk management activities and responsibilities
- Perform other duties as assigned

**Position Requirements**

Education and Experience

This position requires a law degree or a minimum of 5 years of legal experience with an emphasis on risk, compliance and regulatory knowledge. An equivalent combination of risk related education, training and experience in other regulatory environments may be considered. Bilingualism will be considered an asset

**Knowledge and Skills**
- Understanding of risk management and regulatory compliance within an organization
- Excellent analytical and problem-solving skills. Able to quickly identify and analyze complex issues to provide practical solutions.
- Strong research skills. Able to consider and analyze divergent legal positions often under time pressure
- Excellent verbal and written communication skills. Able to provide clear instructions or advice; persuasively communicating risk processes and policies
- Excellent multi-tasking skills. Able to effectively manage a range of duties and responsibilities, organizing and prioritizing multiple tasks simultaneously and completing them to a high standard
- Self-motivated, highly organized with excellent time management skills
- Strong IT skills. Have exceptional computer skills and proven ability to learn new software and programs and keep up to date with developments (including enhancements to the Firm’s systems)
- Experience in the area of risk, ethical and regulatory environment in which law firms operate and a solid understanding of the various professional regulatory bodies relevant to legal practice
- Proven ability to work as part of a team. Capable of building and maintaining effective working relationships to become a trusted advisor to lawyers, assistants, other firm admin departments and the Ethics & Conflicts Committee with a willingness to cooperate and share knowledge
- Proactive in taking ownership for the resolution of issues and able to work with mínimal supervision, ability to exercise judgment, ability to work with limited direction

For the safety of firm members and visitors, Osler is committed to complying with the recommendations of public health authorities, including with respect to adopting mandatory vaccination policies. Employment at Osler is therefore conditional on complying with any vaccination policies that Osler may adopt from time to time in response to the recommendations of public health authorities

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