Team Leader, Assessment and Compliance

Law Society of NSW; Sydney; On-site; AUD 120,000 - 165,000; Full time

Job summary

Law Society of NSW seeks a Team Leader, Assessment and Compliance to supervise a legal team handling compliance and suitability matters under the Uniform Law. You will draft and review reports for the Council and regulatory Committees, while guiding investigators and ensuring timely referrals are processed.

You will lead performance reviews, develop plans and maintain relations with solicitors, staff, and external bodies, ensuring adherence to statutory obligations and quality service.

Qualifications

• Appropriate legal qualifications and unsupervised Australian practising certificate.
• Experience in a regulatory or compliance-based environment is desirable.
• Knowledge of administrative law, litigation, conveyancing and wills advantageous.
• Strong communication skills and ability to manage stakeholders and teams.
• Ability to develop clear project plans, timelines and monitor progress.
• Comfort with budgeting and ensuring standards are met.

Responsibilities

• Lead a team of investigators and manage referrals from start to finish.
• Advise team members on case management and handling of matters.
• Oversee team resources and performance appraisals.
• Engage with Council, regulatory Committees and external stakeholders.
• Prepare reports for Council and Director, Legal Regulation.

Skills

Leadership

Regulatory environment

Legal knowledge

Communication

Project planning

Stakeholder engagement

Education

Australian practising certificate

Tools

MS Office

Database applications

Email & internet tools

Job description

About the role

The Team Leader, Assessment and Compliance is responsible for the supervision of a legal team charged with the assessment and consideration of matters referred to Professional Standards about compliance with obligations under the Legal Profession Uniform Law (NSW) (Uniform Law) and/or other suitability issues pursuant to Chapters 3 of the Uniform Law. This includes drafting and reviewing reports to the Council of the Law Society of NSW (Council) and its regulatory Committees.

What you’ll be doing

• Leading a team of investigators as it manages and resolves referrals.
• Advising and assisting team members on the management of individual matters.
• Managing overall team and individual practice resources.
• Reviewing and monitoring team functions and responsibilities including performance appraisals of team members.
• Active case and practice management including the examination, investigation, research, reporting and monitoring of matters.
• Preparation of reports for Council and its regulatory Committees, as appropriate.
• Active involvement in Professional Standards including legislative and legal development.
• Managing and developing the team (including performance reviews of team members) to ensure that skill sets improve and the appropriate systems are in place to discharge the Law Society’s statutory obligations.
• Establishing and maintaining effective working relationships with solicitors, Professional Standards staff, Council and its regulatory Committees, Legal Services Commissioner and other external stakeholders.
• Ensuring the expeditious assessment, analysis and investigation of referrals to the Team including drafting relevant correspondence, notices and reports.
• Ensuring the assessment, investigation, research, report and making of recommendations on referrals in accordance with the Uniform Law and the Statement of Regulatory Approach.

About you

• Appropriate legal qualifications and maintenance of an unsupervised Australian practising certificate.
• Proven leadership and management experience.
• Experience in a regulatory or compliance-based environment, including appropriate technical and systems knowledge, is desirable.
• Experience in administrative law, litigation, conveyancing and wills and estates considered advantageous.
• Familiarity with accounting concepts also considered advantageous.
• Sound knowledge of the Legal Profession Uniform Law (NSW) and related legislation and regulations.
• Demonstrated ability to develop clear project plans and timelines, regularly communicate with stakeholders including project team members and monitor project progress, while remaining within budget and meeting relevant standards.
• Ability to plan and organise self and others to ensure the efficient completion of tasks and supporting others to succeed.
• Capable of listening and assimilating information from various sources, identifying potential outcomes and consequences, presenting persuasive arguments and winning concessions, while maintaining positive relationships and articulating a vision.
• Proven ability to use clear, concise language in correspondence and reports;
• Encourage and support others while building valued and trusting relationships with others.
• Ability to practice open communication, lead by example and effectively provide honest and constructive feedback.
• Promote collective achievement, contribute to the development and achievement of group objectives.
• Capability to structure, engage and present information clearly to various audiences.
• Proven skills enabling work within complex frameworks, analysing and prioritising information and converting ideas and objectives into actions.
• Intermediate to advanced computer skills, including e-mail and internet applications, data base applications and experience using programs, such as MS Office.
• Display a commitment to quality client service, values the supplying of accurate and timely information and relates to people from diverse backgrounds.
• Identify, assessment use of judgment.

About the team

Professional Standards carries out regulatory functions in relation to lawyers in NSW including under delegation and oversight by the NSW Legal Services Commissioner. The functions of Professional Standards include the following: dealing with complaints under Chapter 5 of the Uniform Law, claims on the Fidelity Fund and trust account investigations and compliance (Chapter 4) and other suitability, compliance and disclosure matters under Chapter 3. In addition to its assessment and investigatory role, Professional Standards has a litigation section conducting matters in the NSW Civil and Administrative Tribunal, the Local Court and Supreme Court.

The Assessment and Compliance Team deals with referrals from the Trust Accounts Department, Licensing and Registry and from courts and tribunals. The Team conducts an initial assessment of the referrals and deals with them in accordance with the Uniform Law. It prepares reports for Council and its regulatory committees as well as to the Director, Legal Regulation.