Compliance Auditor H/F

4 weeks ago

Calgary, Alberta, Canada Law Society Full time

We are looking for a dedicated and meticulous Compliance Auditor to become a vital part of our Trust Safety Division.

As a Compliance Auditor, you will be instrumental in maintaining the ethical standards of the legal field by ensuring that legal practitioners comply with trust accounting regulations.

This position is ideal for an experienced auditor who appreciates continuous professional development, diverse responsibilities, and conducting compliance audits across various legal practices.

In this role, you will be a key contributor to the Trust Safety Division, overseeing the complete audit process in line with our established audit framework. Success in this role demands exceptional time management, interpersonal, and analytical capabilities.

The Law Society of Alberta serves as the regulatory authority for the legal profession, ensuring that ethical and professional standards are upheld. A fundamental aspect of this role is to protect the public by safeguarding client funds entrusted to legal professionals.

The Trust Safety Division plays a crucial role in fulfilling this mission.

Aligned with the Law Society's vision and strategic objectives, the division manages a program aimed at protecting the public and ensuring the security of trust assets.

This includes educating legal practitioners on their trust account obligations, mandating annual reporting, and executing audits of financial records maintained by legal professionals.


Key Responsibilities:

Your duties will encompass:

Conducting risk-based, random, and follow-up audits of trust accounts maintained by legal practitioners to ensure compliance with the Trust Accounting Regulations.

Analyzing financial records to detect potential non-compliance with trust accounting standards.

Evaluating internal controls within law firms to mitigate risks associated with client funds.

Drafting clear and concise audit reports that detail findings and recommendations.

Effectively communicating with legal practitioners regarding areas of non-compliance and ensuring that corrective measures are implemented.

Staying updated on the Trust Accounting Regulations and relevant legislation.

Assisting in the development and enhancement of compliance audit policies and procedures.

Providing support to law firms in establishing sound accounting practices that align with regulatory requirements.

Participating in educational initiatives for legal practitioners, including seminars and informative articles.

Collaborating with other operational units within the Regulatory Department regarding compliance and risk management.

Maintaining professional relationships with colleagues, management, stakeholders, and legal practitioners.



Qualifications:

Professional certification is required or in progress (such as CPA, CIA, CFE, or CAMS).

A bachelor's degree or diploma in accounting or a related field, along with a minimum of three years of experience in conducting audits, preferably in compliance and operational audits.

Strong project management skills with the ability to handle multiple priorities while consistently meeting objectives and deadlines.

Excellent analytical and problem-solving abilities, with a capacity to manage large volumes of data.

Outstanding communication skills, both verbal and written, with the ability to present audit findings clearly and effectively.

Proficient report writing skills to create specific, concise, and impactful audit reports.

Meticulous attention to detail in all written communications.

Proficiency in Microsoft Office Suite.

Ability to work independently as well as collaboratively within a team.

Strong organizational skills and a demonstrated capacity to learn new concepts.

Exhibit high professional judgment, integrity, independence, and objectivity.

Willingness to travel approximately 25% of the time.


About the Law Society of Alberta:

The Law Society of Alberta is dedicated to regulating the legal profession in the public interest by promoting and enforcing high standards of professional and ethical conduct among legal practitioners.

While we do not provide legal advice on specific cases, we actively collaborate with members of the justice system to enhance the administration of justice for all.


What We Offer:

We provide work-life balance benefits that enable you to manage your career alongside personal commitments.

Access to an onsite gym and tenant lounge.

Private Reflection Rooms for meditation or mental health breaks.

We also offer a flexible hybrid working environment, requiring in-office attendance on specific days while allowing remote work on others.

This arrangement fosters collaboration, social connections, mentorship, and cross-departmental interaction.

The Law Society of Alberta values diversity in its workforce and ensures equal access to opportunities. All inquiries and applications will be treated with the utmost confidentiality.

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