Forensic Auditor, Investigation Services

Law Society of Ontario•Toronto, ON

1d•CA$112,415 - CA$133,490•Hybrid

About The Position

The Forensic Auditor is an Accounting Specialist engaged in the timely, consistent investigation of a wide range of issues relating to the professional conduct and competence of lawyers and paralegals (“licensees”), in accordance with the Law Society’s public interest mandate, legislation, by-laws and policies. This includes independent planning, conduct and closure of investigations in a manner consistent with forensic accounting practices, identifying potential breaches by licensees of the Society’s regulations regarding the maintenance of proper accounting records, anti-money laundering, financial schemes, mortgage fraud, syndicated mortgage investment fraud, estates, conflict of interest, and other issues, and providing recommendations regarding further pursuance of files, including settlement and/or discipline of licensees.

Requirements

A university degree, or equivalent training and/or experience, coupled with a professional accounting designation, and membership in a recognized Canadian professional accounting body.
A minimum of five years forensic experience, preferably in a regulatory environment.
Required to work out of their home office and on an as-needed basis and attend at licensees’ offices. Incumbents are also required to attend the Law Society’s office as required and directed. There are occasional requirements for overnight travel in the conduct of investigations.
Solid understanding of the Law Society’s mandate, services, legislation and policies.
In-depth understanding of current trends and developments in accounting practices, their practical applications and forensic investigation techniques.
Knowledge of specialized areas such as real estate, estates, mortgage fraud, anti-money laundering and financial schemes.
Knowledge of interview and investigation methodologies, principles, and practices.
Knowledge of a variety of dispute resolution techniques and their appropriate application.
Expressive and persuasive in both spoken and written language in the collection of evidence and facilitation and resolution and disposition of complaints.
Concise, well-organized writing skills in the preparation of a full range of investigative documents and memoranda which may form the basis for disclosure to Litigation Services and agreed statement of fact.
Superior analytical ability.
Able to reason through complex spoken and written information.
Computer literacy, including word processing software, advanced spreadsheet functions, accounting system software and internet search capabilities.

Nice To Haves

Specific familiarity with Microsoft OneDrive, SharePoint and Adobe Pro are definite assets.
Broad understanding of the application of technology preferably in a regulatory/legal environment.

Responsibilities

Investigates serious and / or complex matters including professional misconduct, conduct unbecoming, competence, licensing, capacity and unauthorized practice.
Independently plans, conducts and makes recommendations for the disposition of a variety of serious and complex investigative assignments relating to professional conduct and competence, either as a member of an investigation team or as sole investigator.
Identifies risk and conducts ongoing risk assessments.
Applies the principles of forensic auditing and fraud detection to the investigation and resolution of matters involving allegations of misuse or mishandling of client property entrusted to lawyers.
Develops case files to prosecutorial and evidentiary standards, including authorization memos, investigation reports, and in the event of prosecution, acts as expert witness at legal and administrative proceedings.
Assesses the need for and makes recommendations with respect to resolution of investigation files, including but not limited to, establishment of practice controls, seizure of lawyer practices, freezing of lawyer trust accounts, payments made by the Compensation Fund, and license revocation.
Identifies potential candidates for remedial diversion initiatives, seeking out opportunities for alternative dispute resolution and settlement of investigations files.
Prepares reports for the Proceedings Authorization Committee (PAC) related to non-discipline recommendations (i.e. Invitation to Attend, Regulatory Meeting, Letter of Advice and file closure) and prepares clear and comprehensive Investigative Reports recommending conduct application.
Follows procedural and administrative requirements with respect to searches and seizures, including the handling, cataloguing, security, and control of evidence gathered during an investigation.
Records and produces witness statements in accordance with the Rules and cooperates with Litigation Services’ staff in the preparation of cases for hearing, and testifying as a witness, as required.
Examines and audits accounting records and files maintained by a licensee, identifying issues of compliance with rules, regulations, bylaws and policies.
Contributes to the development of standardized practices, guidelines and procedures in the appropriate conduct and resolution of investigations files from a forensic accounting perspective.
Conducts own caseload, and works with other members of Investigation Services, as well as colleagues in Intake and Resolution and Litigation Services to establish, monitor and continuously improve processes and case management performance targets.
Manages a varied and substantial caseload.
Identifies, informs, and advises the Director and Team Managers of Investigation Services of the need for policy development and/or policy change(s) based on analysis of legal issues encountered during investigations.
As a domain expert, continually assesses policies and procedures, and identifies opportunities for policy development or change in regulation procedures.
Participates in the development of policy and processes when assigned.
Works closely with the Team Manager and other Investigation Services staff in the conduct of coordinated investigative and regulatory responses to identified issues involving subjects of investigations.
Promotes the sharing and transfer of knowledge and information amongst team members.
Acts as an expert witness and advisor in prosecuting forensic audit case files.
Develops and maintains mutually beneficial relationships with law enforcement, government agencies, and various levels of the Federal and Provincial Judicial systems as well as financial institutions to facilitate the exchange of information.