The Law Society of Upper Canada

Auditor, Spot Audit, Practice Audits, Professional Development & Competence

CA-ON-Toronto
Job ID
2017-1502
# Positions
1
Job Type
Full Time
Years of Experience
3
Term
Permanent

OVERVIEW

JOB PURPOSE: 

 

The Auditor, Spot Audit Program, either alone or occasionally as a member of an audit team, conducts an examination of a lawyer’s books, records, files and related documents to ensure compliance with the Law Society’s rules and By-laws .  Focusing on areas of practice, which historically give rise to disciplinary actions or other regulatory concerns, or because of a member’s past poor record keeping practices, the Auditor prepares audit reports, provides timely suggestions to the member for improvement or, in cases of serious breaches, may recommend referral to investigations teams for further action.

 

QUALIFICATIONS:

 

  • A university degree, or equivalent training and / or experience, coupled with a professional designation in law or accounting and membership in a recognized Canadian professional body.
  • 3 years’ financial, regulatory or compliance auditing experience, ideally related to the practice of law.
  • Knowledge of real estate law, estate law and related accounting procedures would be an asset.
  • Solid understanding of the Law Society’s mandate, services, legislation and policies, or willingness to learn.
  • Knowledge of current trends and developments in accounting practices, their practical applications and auditing techniques.
  • Computer literacy, including word processing software, spreadsheet functions and accounting system software.
  • Broad understanding of the application of technology preferably in a regulatory/legal environment.
  • The incumbent is required to work out of the office on a continuous basis, attending at members’ offices. Extensive, and occasional overnight, travel throughout Ontario is required when conducting audits. Auditors outside of the GTA experience significantly more travel due to the lower concentration of members outside of the GTA and a larger area of coverage.
  • Auditors frequently drive substantial distances to and from audits.
  • Expressive and persuasive in both spoken and written language.
  • Able to reason through complex spoken and written information.

KEY ACCOUNTABILITIES

Client Service Delivery

 

  • Conducts a variety of audit assignments, either as a member of an audit team or as sole auditor, in accordance with Law Society rules and By-laws, audit plans and auditing techniques. 
  • Examines accounting records maintained by lawyers ensuring compliance with Rules of Professional Conduct, bylaws and policies. 
  • Examines other documents and records and interviews the members, their staff, or others as indicated.
  • Prepares audit memos, analyzing and summarizing audit findings and general comments, and making suggestions for improvement. 
  • Assesses the need for, recommends, prepares and obtains signed undertakings from members where appropriate.  Identifies serious breaches of bylaw or Rules of Professional Conduct and, as required, may recommend escalation to an investigation team where findings indicate a referral to discipline is a likely outcome.
  • Identifies practice management issues for referral to Practice Review.
  • Follows up on audits to ensure recommendations for improvement are acted on and prior undertakings are complied with. 
  • Verifies lawyers’ information in the self reporting database, correcting erroneous information.
  • Follows procedural and administrative requirements with respect to ensuring appropriate authorizations are obtained prior to initiating audit, following specified procedures for contacting lawyers and conducting audit. 
  • Potential to be called upon to testify as a witness by Discipline counsel.   


Performance Goals, Targets and Standards

 

  • Works with other team members to establish, monitor and continuously improve processes and individual performance targets.

 

Policy Development

 

  • Identifies and informs Manager, Practice Audits of the need for policy development or change in areas related to By-law 9, Lawyer’s Annual Report, Licensing Process and Rules of Professional Conduct and other Spot Audit activity. 
  • Participates in the development of policy when assigned.

 

Team Membership

 

  • Promotes the sharing and transfer of knowledge and information amongst team members, particularly as it relates to specialist knowledge, such as private mortgages and estates. 
  • Ensures that audit reports and memos are complete, accurate and can be readily used by members of investigations teams, if required.

COMPETENCIES

Service Orientation

 

  • The requirement to maintain a high standard of commitment, ethics, respect, care in service delivery to clients (internal and/or external).

 

Communication and Interpersonal Skills

 

  • The requirement to structure and deliver effective verbal and written communication with clients, staff, licensees, the public, and others in a non-threatening and constructive way.

 

Team Orientation

 

  • The requirement to share responsibility for the achievement of team goals and the associated behaviours required for individuals to contribute effectively in a team environment.

 

Continuous Improvement

 

  • The requirement to demonstrate an attitude that consistently strives to improve a standard of excellence for one’s self and for the benefit of the organization, its licensees and stakeholders.

 

Problem Solving and Judgement

 

  • The requirement to identify and analyze problems, determine root causes, evaluate alternative solutions and take and/or recommend appropriate solutions.

 

Technical Competence / Professional Knowledge

 

  • The requirement to apply knowledge and skills to carry out the work and/or provide advice. This also includes the quality of advice given, as well as the requirement to make decisions in the best interests of the organization as a whole.

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