Auditor & Professional Development & Competence

Law Society of Ontario; Remote; CAD 60,000 - 80,000; Full time

Job summary

A prominent regulatory body in Canada seeks a compliance auditor to examine licensees' records for adherence to By-Laws. The ideal candidate will possess a Bachelor's degree in Accounting or related field, a professional designation, and a minimum of 3 years' audit experience. This role includes conducting independent audits, preparing detailed reports, and ensuring compliance with regulations. The working arrangement is primarily remote, with occasional office attendance required.

Benefits

Competitive compensation package

Health and dental benefits

Professional development opportunities

Qualifications

• Requires a minimum of 3 years' experience in financial, regulatory, or compliance audits.
• Requires valid driver's license and access to a personal vehicle.
• Knowledge of real estate law, estate law and related accounting requirements is an asset.

Responsibilities

• Examines licensees' books and records for compliance with By‑Laws.
• Conducts audits independently or as part of a team.
• Prepares and provides licensees with audit reports and recommendations.

Skills

Customer service skills

Analytical and problem‑solving skills

Organizational skills

Mathematical acumen

Education

Bachelor's Degree in Accounting, Business, Law or a related discipline

Professional designation in accounting or law

Tools

Microsoft Office Suite / 365

Job description

OVERVIEW

At Law Society of Ontario we believe in the importance of a collaborative and supportive work environment that provides high quality and professional service to the public, lawyers and paralegals, and other stakeholders.

We are always on the lookout for exceptional individuals who are ready to make a meaningful impact, innovate and grow with us. Our offering:

• We value each member of our team and invest in your professional learning and development.
• We provide access to the resources needed to support professional growth, mental health and well‑being is a priority.
• Our competitive compensation package includes a defined contribution pension plan, health and dental benefits plan and a robust Employee and Family Assistance Plan (EFAP).
• Our progressive employment policies, high levels of employee engagement and the impressive architecture and beautiful grounds of the historic Osgoode Hall, there are many reasons to work at the Law Society.

We hope you will consider joining the Law Society!

JOB PURPOSE3>

Examines licensees' books, records, files and related documents to ensure compliance with the Law Society's By‑Laws and Rules of Professional Conduct (RPC) / Paralegal Rules of Conduct (PRC). The focus is 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. Prepares audit reports, offers timely recommendations for improvement, and, in cases of serious breaches, alerts their assistant manager who may recommend referral to investigations team for further regulatory action.

QUALIFICATIONS REQUIRED

• Requires a Bachelor's Degree in Accounting, Business, Law or a related discipline.
• Requires a professional designation in accounting or law and membership in a recognized Canadian professional body.
• Requires a valid driver's license and access to a personal vehicle.
• Requires a minimum of 3 years' experience in financial, regulatory, or compliance audits, preferably in relation to the practice of law.
• Professional Knowledge
  • Law Society's mandate, services, legislation, and policies.
  • 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.
• 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.

KEY ACCOUNTABILITIES

Client / Customer Service Planning

• Conducts initial due diligence on licensees of the selected firm to ensure spot audit can proceed.
• Contacts the licensee to discuss the spot audit, schedule the audit date, and request any initial documentation.
• Obtains any additional authorizations prior to commencing the audit.
• Prepares and sends the initial correspondence letter to the licensee, including pre‑audit questionnaire.
• Verifies licensee information in the self‑reporting database to ensure accuracy.
• Prepares and communicates case requirements to the licensee.
• Conducts pre‑attendance due diligence to ensure that the spot audit can proceed.
• Prepares for audit, including assessing any documentation provided by the licensee.

Client/Customer Service Delivery

• Conducts audit assignments independently or as a part of a team, examining law firm and legal services firm practices to ensure compliance with the Law Society's By‑Laws, RPC/PRC. Examines the firm's accounting records, files and related documents, and conducts interviews with the licensee, their staff, and other relevant parties.
• Prepares and provides licensee with an Audit Report outlining identified deficiencies and recommendations for improvement.
• Identifies breaches or potential breaches of By‑Laws and RPC / PRC and flags any serious breaches and/or regulatory concerns for priority review.
• Identifies practice management issues.
• Submits audit reports that are complete, well documented, and organized in accordance with Spot Audit Program standards and within specified timelines. Conducts follow‑up spot audits to ensure implementation of recommendations and compliance with prior undertakings.
• Testifies as a witness when required by Discipline Counsel at hearings.

Team Membership

• Attends group and departmental meetings.
• Promotes the sharing and transfer of knowledge, standards, and information amongst team members within the department, division, and other LSO departments.

WORKING ARRANGEMENT

The Law Society has introduced a Distributed Workforce Model to leverage flexibility and agility, and to maximize employee productivity and engagement. Work arrangements will be determined by role and departmental requirements. The working arrangement for this position has been classified as primarily remote, with a requirement to attend the office on an occasional basis. The specific application of this will be communicated to applicants contacted during the recruitment process.

OUR COMMITMENT

The Law Society of Ontario values and respects diversity. We are committed to creating an accessible, barrier‑free and inclusive workplace in compliance with the Accessibility for Ontarians with Disabilities Act (AODA). Please make any requirement you may have for accommodation during the recruitment process known when contacted.

If you are unable to apply to this position due to the requirement for an accommodation of any kind, please email us at [e-mail] or call 416‑947‑3438.

The Law Society of Ontario does not use Artificial Intelligence (AI) tools to screen, assess, or select applicants during the hiring process at present.