CPA auditor managing certification engagements, financial statements, tax returns, and audit quality for accounting clients at Raymond Chabot Grant Thornton.
About the role
- Law Society auditor examining law firm records for By-Law and conduct-rule compliance. Preparing audit reports, recommending improvements, and escalating serious regulatory breaches.
Responsibilities
- Conduct initial due diligence on licensees of the selected firm to ensure the spot audit can proceed
- Contact licensees to discuss spot audits, schedule audit dates, and request initial documentation
- Obtain additional authorizations before commencing audits
- Prepare and send initial correspondence letters, including pre-audit questionnaires
- Verify licensee information in the self-reporting database
- Prepare and communicate case requirements to licensees
- Conduct pre-attendance due diligence
- Prepare for audits and assess documentation provided by licensees
- 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 outlining deficiencies and recommendations for improvement
- Identify breaches or potential breaches and flag serious breaches or regulatory concerns for priority review
- Identify practice management issues
- Submit complete, well-documented, organized audit reports within specified timelines
- Conduct follow-up spot audits to verify implementation of recommendations and compliance with prior undertakings
- Testify as a witness when required by Discipline Counsel at hearings
- Attend group and departmental meetings
- Promote knowledge, standards, and information sharing among team members and across 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
- Proficiency in English and French
- 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, attention to detail, 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
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