Investigations Lead, Conduct & Discipline

CPA Calgary Chapter•Calgary, AB

1d•Hybrid

About The Position

This role plays a key part in supporting fair, timely, and well reasoned regulatory conduct and discipline processes. The Investigations Lead shares in the execution of the Director’s expansive, numerous and specific responsibilities including those mandated under the Chartered Professional Accountants Act as Complaints Inquiry Committee (CIC) Secretary. The CIC Secretary is a position mandated under the Act and is a position integral to the effective, efficient, and fair operation of CPA Alberta’s complaint and disciplinary processes including policy development, preventative actions, and awareness building initiatives. The Investigations Lead position plays an important role in the successful execution of the CIC Secretary’s mandate as it relates to management of the complaints process and by the carriage of the broad range of responsibilities described below.

Requirements

Robust knowledge of principles of natural justice, legal fairness, and quasi-judicial processes and procedures.
Capacity to synthesize and analyze large volumes of complex information.
Ability to thrive in a fast-paced, dynamic, and high-accountability work environment.
Superior report writing skills with in-depth knowledge of how to write for a professional regulatory adjudicative audience.
Proven ability to identify, manage, and reconcile competing priorities, activities, and assignments.

Nice To Haves

An experienced investigator with 3 to 5 years of progressive experience conducting or leading regulatory or misconduct investigations.
A thoughtful navigator of sensitive, high-risk, or complex complaints.
Collaborative in working with colleagues.
Diplomatic and professional in working with internal and external parties.
Anticipative in identifying issues, foreseeing risk, and developing effective risk mitigation strategies.
Value and Ethics
Teamwork and Adaptability
Organizational Awareness
Communication
Analytical Thinking
Judgement
Planning and Organizing
Results Management

Responsibilities

Completing the initial review of each complaint; drafting Complaints Review Questionnaires (“CRQ”) as required.
Overseeing the investigations process, including creating the investigation plan, providing guidance to investigators, reviewing investigators' reports and approval of billings.
Working collaboratively with other internal teams, sharing knowledge, information, and providing guidance and advice.
Conducting complaint investigations and drafting investigation reports.
Overseeing the referral of complaint files to hearing, including preparation of hearing disclosures and, where applicable, appearing as a witness.
Monitoring compliance with sanctions and orders arising from the discipline process and overseeing the collection of costs and fines.
During peak volume periods, supporting the Complaints Lead by drafting CIC Secretary reports and non‑standard correspondence, including dismissal and reprimand letters, as required.
Providing end-to-end oversight of the contract investigator pool, including sourcing, onboarding and training, report quality assurance, and ongoing feedback.