Director, Investigations and Prosecutions

Position Summary

The Regulatory Division of our client is comprised of the departments that fulfill the functions that are mandated under the Act : admissions, registration, enforcement, investigation, and discipline.

The Director, Investigations & Prosecution directs and oversees the regulatory compliance function at our client in accordance with the Act, regulations, by-laws, and our client’s policies and procedures.

The role will be charged with taking a more confident approach to the interpretation of the legislation in protecting the public while adhering to broader principles of good regulation including proportionality, consistency, specificity, accessibility, transparency, accountability, and adaptability.

Responsibilities

Strategy & Leadership

• Interpret the Act and regulations to licence holders and the public, providing information, as appropriate, related to regulatory processes.
• Develop and administer annual operating and capital budgets for all complaints and enforcement programs and related committees, exercising financial management of departmental budget, including expenditure review and control.
• Inform and advise Council and its governance committees on regulatory compliance matters. Make presentations and provide information as required.
• Direct and manage the team by setting clearly defined goals and objectives, develop performance measures and targets, and evaluate employee performance.

Develop departmental structure to meet goals and objectives.

Complaints

• Responsible for the administration of the statutory complaints process, including establishing investigative process and policy, ensuring adherence, oversight of investigations.
• Act as staff advisor to the Complaints Committee, advising the committee and Council on matters of process and complaint investigation statistics.
• Engage and manage external counsel as required.
• Make recommendations with regards to opening Registrar’s Investigations in accordance with the Professional Engineers Act, ensuring required thresholds of evidence to proceed.
• Review and ensure the quality of all Complaints Committee non-referral decisions, which become part of the public record.
• Responsible for approving all Letters of Advice issued by the Committee, and negotiating voluntary undertakings as directed by the Committee.
• Responsible for approving the selection of independent experts when required for complaint files; issuing engagement letters.
• Follow up on lessons learned from investigations, Complaints Committee deliberation and Discipline and Enforcement prosecutions
• Follow up on penalty compliance.
• Monitor the progress and status of investigations, provide direction and guidance to manager(s) and investigators. Where matters are referred to discipline, provide support to legal counsel prosecuting on behalf of our client.

Legal

On prosecutions, actively participate in the prosecution strategy for referred matters, direct legal counsel (either internal or external) and approve Statements of Fact for settled matters and legal submission documents.

Approve penalties for settled matters and proposed penalties for contested matters.

Attend all Disciplinary Committee hearings in support of legal counsel and to monitor proceedings.

Enforcement

• Responsible for the direction of major enforcement files or files for which a judgment is required.
• Monitor the progress and status of enforcement, provide direction and guidance to manager(s) and investigators.
• Advise staff on the decision to seek prosecution, investigative strategy, seeking a voluntary undertaking or closing a file.
• Provide direction on specific enforcement outreach to stakeholders on the powers of the Act and proactively seeking breaches to investigate.

Specialized Skills and Knowledge

• Minimum 10 years’ experience with an investigative, criminal or quasi-criminal, enforcement, or professional regulatory environment.
• Experience or general knowledge of engineering disciplines would be an asset.
• Knowledge of legislative frameworks of self-regulating professions and privacy and confidentiality legislation and best practices with respect to statutory investigations.

An understanding of the Professional Engineers Act (Ontario), regulations, by-laws, and our clients policies and procedures is preferred.

• Strong written communication skills to prepare a range of materials including correspondence, recommendations, policies, and briefing notes and papers on regulatory compliance matters.
• Organizational skills to manage the flow of issues and files
• Management skills to produce high quality team results and outcomes, including effective delegation, coaching and performance evaluation.
• Oral communication and presentation skills to present briefings for Council, staff and the public.
• Diplomacy, patience, and consistency in communicating with Council, committees and the public.
• Conflict management skills to productively navigate situations that may become adversarial in nature.
• Attention to detail and thoroughness to evaluate and report on matters under review or investigation, decisions, and all the associated technical, legal and procedural documentation involved.
• Professional judgment skills to navigate complex situations ethically.
30+ days ago