Bilingual Auditor, Spot Audit (Remote, Ottawa Region)

Overview

The organization is seeking an individual to examine licensees’ books, records, files, and related documents to ensure compliance with relevant By-Laws and professional conduct rules. This role involves conducting spot audits, preparing audit reports, and providing timely recommendations for improvement, with escalation in cases of serious breaches.

The organization values professional learning and development and provides resources to support professional growth and well-being.

Job Purpose

• Examine licensees’ books, records, files, and related documents to ensure compliance with the organization’s By-Laws and Rules of Professional Conduct (RPC) / Paralegal Rules of Conduct (PRC).
• Focus on areas of practice that have historically given rise to disciplinary actions or other regulatory concerns, or on licensees with previous poor record keeping and money handling practices.
• Prepare audit reports, provide timely recommendations for improvement, and alert the assistant manager in cases of serious breaches, who may recommend referral to investigations for further regulatory action.
• Must be able to work proficiently in both English and French.

Responsibilities

Client / Customer Service Planning

• Conduct initial due diligence on licensees of the selected firm to ensure a spot audit can proceed.
• Contact the licensee to discuss the spot audit, schedule the audit date, and request initial documentation.
• Obtain any additional authorizations prior to commencing the audit.
• Prepare and send initial correspondence, including a pre-audit questionnaire.
• Verify licensee information in the self-reporting database to ensure accuracy.
• Prepare and communicate case requirements to the licensee.
• Conduct pre-attendance due diligence to ensure that the spot audit can proceed.
• Assess documentation provided by the licensee and prepare for the audit.

Client / Customer Service Delivery

• Conduct audit assignments independently or as part of a team, examining law firm and legal services firm practices to ensure compliance with the organization’s By-Laws, RPC/PRC.
• Examine accounting records, files, and related documents.
• Conduct interviews with the licensee, their staff, and other relevant parties.
• Prepare and provide the licensee with an Audit Report outlining identified deficiencies and recommendations for improvement.
• Identify breaches or potential breaches of By-Laws and RPC/PRC and flag serious breaches and/or regulatory concerns for priority review.
• Identify practice management issues.
• Submit audit reports that are complete, well documented, organized in accordance with Spot Audit Program standards, and within specified timelines.
• Conduct follow-up spot audits to ensure implementation of recommendations and compliance with prior undertakings.
• Testify as a witness when required by Discipline Counsel at hearings.

Team Membership

• Attend group and departmental meetings.
• Promote sharing and transfer of knowledge, standards, and information among team members within the department, division, and other organization 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 related to the practice of law.

Professional Knowledge

• Knowledge of the organization’s mandate, services, legislation, and policies.
• Current trends and developments in accounting practices and auditing techniques.
• Proficiency in English and French is required.
• Knowledge of real estate law, estate law, and related accounting requirements is an asset.

Technical Skills

• Microsoft Office Suite / 365 (Word, Excel, PowerPoint, etc.).
• Broad understanding of the application of technology in a regulatory/legal environment.

Competencies

• Customer service skills.
• Analytical and problem-solving skills.
• Project coordination, prioritization, and time management skills.
• Interpersonal, oral, and written communication, and presentation skills.
• Organizational and multitasking skills with attention to detail.
• Mathematical acumen.
• Relationship management.
• Ability to reason through and communicate clearly, concisely, and accurately, both orally and in writing.
• Expressive and persuasive in both spoken and written language.

Compensation & Benefits

• Competitive compensation package including a defined contribution pension plan.
• Health and dental benefits plan.
• Employee and Family Assistance Plan (EFAP).
• Access to resources to support professional learning and development and mental health and well-being.

Location

• Not specified in the posting.

Additional Information

• The organization is committed to creating an accessible, barrier-free, and inclusive workplace in compliance with the Accessibility for Ontarians with Disabilities Act (AODA). Accommodations can be requested during the recruitment process when contacted.
• This posting is for an existing vacancy.
• The organization does not use Artificial Intelligence (AI) tools to screen, assess, or select applicants during the hiring process at present.