The Law Society of Upper Canada

Manager, Complaints & Compliance, Client Service Centre, Corporate Services

CA-ON-Toronto
Job ID
2017-1515
# Positions
1
Job Type
Full Time
Years of Experience
7
Term
Permanent

OVERVIEW

JOB PURPOSE:
   
The Manager, Complaints & Compliance is responsible for managing a team of Counsel, Law Clerks and Administrators in Complaints & Compliance to ensure the accurate, timely and efficient intake, screening, routing and resolution of complaints. Ensures timely administration of, and compliance with, various processes mandated under by-laws, rules, legislation, and agreements, including LawPRO referrals, licensing applications, mobility permits, foreign legal consultants, multi-discipline partnerships and affiliations. Works with the Assistant Managers, Counsel, Team Leader, and staff to develop, improve and implement policies, processes and procedures related to Complaints & Compliance. Acts as Counsel to other departments in the Client Service Centre (CSC) as required, ensuring quality service to all clients in the regulation of the legal professions in Ontario.

 

QUALIFICATIONS REQUIRED:

 

  • An LLB or JD, plus a Class L1 licence with the Law Society of Upper Canada.
  • Minimum of 7 to 10 years of legal or regulatory experience, including practical legal experience and a level of knowledge of legal practice. 5 years of experience should be in a leadership role, providing guidance and mentorship and contributing to human resources decisions regarding professional and support staff. Customer service experience is preferred.
  • Extensive knowledge of the Law Society Act, by-laws and rules.
  • Knowledge of the Law Society, including organizational structure, services, mandate, rules and regulations, and its complaints resolution services in particular.
  • Substantive legal knowledge with respect to administrative law and other areas of practice.
  • Solid understanding of best practices with respect to employee relations, client service management processes, process design and financial/accounting resources.
  • Training in Alternative Dispute Resolution/Mediation.
  • Proficiency in word processing and data base applications, email, and the internet/intranet.
  • Superior analytical skills to interpret and reason through complex information.
  • Expressive and persuasive in both spoken and written language.

KEY ACCOUNTABILITIES

Client/Customer Service Planning

 

  • In conjunction with the Senior Manager, CSC, staff in Complaints & Compliance, other departments in Corporate Services, and staff in other divisions as appropriate, formulates the procedures and criteria for the screening, resolution and routing of complaints to the appropriate persons, departments or other organizations in support of the mandate of the organization and its goals of client service.
  • Liaises with Managers other senior staff in the Professional Regulation Division to develop policies for the appropriate management and disposition of complaint files.
  • Oversees the work processes in the department, and ensures compliance with all applicable by-laws and other authority.
  • In conjunction with the Senior Manager, CSC, and Managers and staff in the other departments in the CSC, contributes to the ongoing development, improvement and implementation of policy, process and procedure related to the Client Service Centre to ensure that recommended process and procedural changes are legally sound and to provide for fairness and equity in treatment of paralegals, lawyers and complainants, in keeping with the Law Society Act, by-laws, codes and rules.

 

Client/Customer Service Delivery

 

  • In conjunction with the Senior Manager, CSC, establishes policies and procedures, and monitors the performance of staff and systems related to the areas of responsibility:

 

Complaints: 

  • Develops and oversees processes for initial review and processing related to complaints, including communication of processes to paralegals, lawyers and complainants, initial research of complaints files, and provision of referrals.
  • Provides discernment and decision making based on legal expertise to determine the appropriate response to complex complaints requiring the attention of the Manager.
  • Responds to escalated complaints including preparation of official letters of response, and acts as a liaison with departments in PRD in order to ensure consistent, accurate and timely processing of all complaints.
  • Oversees the initial review and screening of good character issues for applicants.

 

Compliance:

  • Provides legal counsel and guidance to team members with respect to applications received from paralegals, lawyers and non-licensees relating to compliance issues handled in the department, and may be asked to make arguments before a committee, or panel of benchers.
  • Areas include, but are not limited to Business Name issues, Multiple Discipline Practices and Partnerships, Affiliations, Limited Liability Partnerships, Mobility, Foreign Legal Consultants, Licensing following Surrender, LawPRO Referrals.

 

People Leadership

 

  • Provides substantive and operational leadership to a staff of Assistant Managers, Law Clerks, Counsel and Administrators, and oversees the delegation of work assignments.
  • Together with the Senior Manager, ensures that results are timely and consistent with service standards.
  • Hires, trains, develops and evaluates employees accountable to the Manager in accordance with the policies of the organization and best human resources practices.
  • Fosters a positive working environment by clarifying goals, building the commitment of individuals, strengthening the group’s collective skills and encouraging creativity, problem solving and appropriate alternative dispute resolution.

  

Performance Goals, Targets and Standards

 

  • Contributes to the definition and implementation of the Law Society and CSC quality and client service mandate, through establishment and implementation of work processes, procedures and standards, monitoring performance, and evaluating the effectiveness of services provided to paralegals and lawyers and the public across the areas of responsibility.
  • Establishes and monitors performance goals, targets and standards within the Complaints & Compliance area, and engages staff in continuous training, development and performance improvement initiatives.
  • Provides ongoing guidance and ensures knowledge transfer, evaluation of process and ongoing improvement on various legal subjects to employees through the development of training programs and procedures.
  • Works in conjunction with the Senior Manager and other CSC departments to ensure the ongoing improvement of processes within the CSC, continuously monitors work processes and procedures, re engineering of work processes within the area, and establishing new processes and protocols as goals and targets shift with new Law Society initiatives.
  • Develops statistical reports and analysis regarding department data, in order to report on work done and plan for the future.


Policy Development

 

  • This position is responsible for the interpretation and application of by-laws as they relate to processes in Complaints & Compliance, as well as the Rules of Professional Conduct, the Paralegal Rules of Conduct, the Rules of Practice and Procedure, the Law Society Act, and other legislative acts.
  • In conjunction with the Senior Manager, CSC, the incumbent identifies emerging issues and develops policies that will support enhanced performance. Continually assesses policies and procedures and identifies opportunities for policy development or change in areas related to the processing of complaints or administrative compliance by paralegals and lawyers.
  • Prepares legal research, reports and analysis in support of policy development, as assigned by the Senior Manager.

 

Financial Responsibility

 

  • Provides input into the CSC budget, and carries accountability for the Complaints & Compliance departmental budget.
  • Contributes to the development of requests for proposals and project specifications, and manages relationships with vendors and service providers as applicable.

 

Team Membership

 

  • Works closely with team members, the Senior Manager, CSC, other managers and counsel in the CSC, and with representatives of other Law Society departments, to ensure quality in the delivery of services.
  • Maintains current knowledge of the Law Society’s regulatory procedures, ensuring a consistent approach to the timely and efficient evaluation and routing of complaints and decisions made in Complaints & Compliance.
  • Works closely with the Senior Manager, CSC and other staff in the Corporate Services division to develop, and ensure adherence to, processes related to the accuracy, currency, integrity and security of information.

 

COMPETENCIES

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.

 

Embracing Change

 

  • The requirement to work towards and embrace change in the workplace.

 

People Leadership

 

  • The requirement to behave with integrity, credibility and honesty when dealing with others, as well as the requirement to grow and develop employee capabilities.

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