The Law Society of Upper Canada

Investigator, Enforcement, Professional Regulation

Job ID
# Positions
Job Type
Full Time
Years of Experience




The Investigator is an investigation specialist assigned to the planning and conduct of timely, consistent investigations working independently or as a member of a team, under the provisions of The Law Society Act, covering a wide range of issues relating to (i) the professional conduct of Licensees, (ii) the unauthorized provision of legal services by non-Licensees and (iii) the good character of Licensee applicants.  This includes development of disposition proposals in keeping with the Law Society’s public interest mandate, legislation, by-laws and policies, and where investigations files fail to reach settlement and/or are subject to disciplinary action, may involve coordinating work with Discipline Counsel as well as testimony in regulatory and court proceedings.  Investigation files deal with political and media sensitive issues, subject to full public scrutiny. 




  • A college diploma or university degree in Business or Law, or equivalent legal and/or accounting training and/or investigative experience.
  • A minimum of five (5) years' independent file management experience in a law office or accounting environment.  Investigation experience derived from work in a law enforcement, regulatory or government environment, preferred.
  • Solid understanding of the Law Society’s mandate, services, legislation and policies, or willingness to learn.
  • Knowledge of interview and investigation methodologies, principles and practices.
  • Knowledge of current trends and developments in investigative techniques, and their practical applications.
  • Experience in testifying.
  • Knowledge of Law Society accounting and bookkeeping.
  • Knowledge of a variety of dispute resolution techniques and their appropriate application.
  • Computer proficiency, which may include familiarity with word processing software, data processing, accounting system software (general, trust) and internet search capabilities.
  • Experience in computer forensics is a definite asset.
  • Expressive and persuasive in both spoken and written language in facilitating resolution and disposition of complaints.
  • Concise, well organized writing skills in the preparation of a full range of investigative documents and memoranda which may form the basis for disclosure to Discipline Counsel and agreed statement of fact.
  • Superior analytical ability.
  • Able to reason through complex spoken and written information.



Client / Customer Service Delivery


  • Investigates serious matters, including professional misconduct, criminal allegations, conduct unbecoming, competence, licensing, re-qualification, capacity and unauthorized practice.
  • Prepares case plans, determining investigation strategies and evidence required to prove allegations of professional misconduct, and independently conducts investigations in accordance with case plans. 
  • Identifies risk and conducts ongoing risk analysis.
  • Assesses the need for and recommends a variety of appropriate responses including, but not limited to, establishing practice controls, obtaining search and seizure orders, identifying potential candidates for remedial diversion initiatives, seeking out opportunities for alternative dispute resolution mechanisms where appropriate. 
  • Devises and implements plans of supervision with respect to member’s practices.  Communicates with Law Society staff, complainants and members regarding the investigation process and disposition of cases, maintaining strict confidentiality of sensitive information at all times.
  • Develops case files to prosecutorial and evidentiary standards, including Investigation Reports, and Investigator Key Document book.
  • Interviews Licensees, witnesses, complainants and other relevant sources, and conducts evidence search and seizure, documenting and safeguarding confidential investigations file information and material evidence. 
  • May occasionally institute co-signing controls/freeze on Licensee’s trust account and is responsible for the supervision of same.
  • Monitors Licensees facing criminal or other proceedings before other regulatory bodies.
  • Assists Discipline Counsel in the preparation of cases for hearings, testifying as a witness at legal and regulatory proceedings as required.

Policy/Regulatory Compliance


  • Follows procedural and administrative requirements with respect to searches and seizures, including the handling, cataloguing, security and control of evidence gathered during an investigation. 
  • Records and produces witness statements in accordance with the Rules, and cooperates with Discipline Counsel in the preparation of cases for hearing, testifying as a witness, as required.

Performance Goals, Targets and Standards


  • Contributes to the development of standardized practices, guidelines and procedures in the appropriate conduct and resolution of investigation files. 
  • Conducts own caseload, and works with other members of the Investigations Department, as well as colleagues in Complaints Resolution and Discipline to establish, monitor and continuously improve processes and case management performance targets.
  • Manages a varied and substantial investigation caseload. 

Policy Development


  • Identifies, informs and advises the Manager and Team Managers of the Enforcement Department of the need for policy development and/or policy change(s) based on analysis of legal issues encountered during investigations. 
  • As a domain expert, continually assesses policies and procedures, and identifies opportunities for policy development or change in regulation procedures.
  • Participates in the development of policy and processes when assigned. 

Team Membership


  • Works closely with the Team Manager and Investigations staff in the conduct of coordinated investigative and regulatory response to identified issues involving a Licensee. 
  • Promotes the sharing and transfer of knowledge and information amongst team members. 

Relationship and Alliance Building


  • Develops and maintains mutually beneficial relationships with law enforcement, government agencies, various levels of the Federal and Provincial Judicial systems as well and financial institutions to facilitate the exchange of information.



Service Orientation 


  • The requirement to maintain a high standard of commitment, ethics, respect, care in service delivery to clients (internal and/or external). 

Communication and Interpersonal Skills 


  • The requirement to structure and deliver effective verbal and written communication with clients, staff, Licensees, the public, and others in a non-threatening and constructive way. 

Team Orientation 


  • The requirement to share responsibility for the achievement of team goals and the associated behaviours required for individuals to contribute effectively in a team environment. 

Continuous Improvement 


  • The requirement to demonstrate an attitude that consistently strives to improve a standard of excellence for one’s self and for the benefit of the organization, its Licensees and stakeholders. 

Problem Solving and Judgement 


  • The requirement to identify and analyze problems, determine root causes, evaluate alternative solutions and take and/or recommend appropriate solutions. 

Technical Competence / Professional Knowledge 


  • The requirement to apply knowledge and skills to carry out the work and/or provide advice.
  • This also includes the quality of advice given, as well as the requirement to make decisions in the best interests of the organization as a whole.



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