Law Society auditor examining law firm records for By - Law and conduct - rule compliance. Preparing audit reports, recommending improvements, and escalating serious regulatory breaches.
About the role
- Auditor examining Toronto law firms’ records and practices for Law Society compliance. Preparing audit reports, identifying breaches, and recommending corrective improvements.
Responsibilities
- Conduct initial and pre-attendance due diligence on selected licensees to ensure spot audits can proceed
- Contact licensees to discuss audits, schedule dates, and request initial documentation
- Obtain authorizations prior to commencing audits
- Prepare and send initial correspondence, including pre-audit questionnaires
- Verify licensee information in the self-reporting database
- Prepare and communicate case requirements to licensees
- Assess documentation provided by licensees and prepare for audits
- Independently or collaboratively conduct audits of law firms and legal services firms for compliance with the Law Society’s By-Laws and RPC/PRC
- Examine accounting records, files, and related documents and interview licensees, staff, and other relevant parties
- Prepare and provide audit reports identifying deficiencies and recommendations for improvement
- Identify breaches, potential breaches, practice management issues, and serious regulatory concerns for priority review
- Submit complete, documented, and organized audit reports within specified timelines
- Conduct follow-up spot audits to verify implementation of recommendations and prior undertakings
- Testify as a witness at hearings when required by Discipline Counsel
- Attend group and departmental meetings
- Promote knowledge, standards, and information sharing across teams and departments
Requirements
- Bachelor's Degree in Accounting, Business, Law or a related discipline
- Chartered Professional Accountant (CPA) designation or a professional designation in law and membership in a recognized Canadian professional body
- Valid driver’s license and access to a personal vehicle
- Minimum of 3 years’ experience in financial, regulatory, or compliance audits, preferably in relation to the practice of law
- Knowledge of the Law Society’s mandate, services, legislation, and policies
- Knowledge of current trends and developments in accounting practices and auditing techniques
- Knowledge of real estate law, estate law and related accounting requirements would be an asset
- Microsoft Office Suite / 365 (Word, Excel, PowerPoint, etc.)
- Broad understanding of the application of technology in a regulatory / legal environment
- Customer service, analytical, problem-solving, project coordination, prioritization, time management, interpersonal, oral and written communication, presentation, organizational, multitasking, mathematical, and relationship management skills
- Ability to reason through and communicate clearly, concisely, and accurately, both orally and in writing
- Expressive and persuasive in both spoken and written language
Job title
Job type
Experience level
Salary
Not specified
Degree requirement
Location requirements
Report this job
Found something wrong with the page? Please let us know by submitting a report below.
CPA auditor managing certification engagements, financial statements, tax returns, and audit quality for accounting clients at Raymond Chabot Grant Thornton.
Senior Auditor identifying retail recovery claims and enhancing automated audit tools for FlexTecs, a profit - recovery firm. Partnering with technology teams and training auditors globally.
Internal Auditor assessing regulatory, financial crime and fraud risks at iA Financial Group, a Canadian insurance, savings and wealth management provider. Conducting audits, evaluating controls and investigating fraud allegations.
Third - party assurance consultant assessing cybersecurity, AI, and compliance controls for BDO Canada clients. Preparing reports, recommendations, and risk assessments across SOC, ISO, and NIST frameworks.
CM
Internal Auditor auditing ICFR and complex controls for Canaccord Genuity’s Canadian financial services operations. Coordinating external auditors and reporting recommendations to executive leadership and the Board.
EHS consulting director leading audits, risk management, and sustainability initiatives for ERM, a global sustainability consultancy. Advising clients across high - hazard industries and strengthening compliance and operational performance.
Senior Internal Auditor strengthening global controls at Twilio, a cloud communications platform. Delivering risk - based audits, SOX testing, remediation, and automation - driven insights.
Bilingual dental claims auditor reviewing healthcare claims and provider compliance for Express Scripts Canada, a Canadian health benefits manager. Conducting desk and on - site audits across Canada.
Bilingual environmental auditor supporting compliance and management - system audits for BluMetric’s water technology and engineering firm. Conducting site assessments and reporting across Canada, especially Quebec.