Law Society of Ontario

Auditor

• Conduct initial due diligence on licensees of the selected firm to ensure the spot audit can proceed
• Contact licensees to discuss spot audits, schedule audit dates, and request initial documentation
• Obtain additional authorizations before commencing audits
• Prepare and send initial correspondence letters, including pre-audit questionnaires
• Verify licensee information in the self-reporting database
• Prepare and communicate case requirements to licensees
• Conduct pre-attendance due diligence
• Prepare for audits and assess documentation provided by licensees
• Independently or collaboratively conduct audits of law firms and legal services firms for compliance with the Law Society’s By-Laws and RPC/PRC
• Examine accounting records, files, and related documents, and interview licensees, staff, and other relevant parties
• Prepare and provide Audit Reports outlining deficiencies and recommendations for improvement
• Identify breaches or potential breaches and flag serious breaches or regulatory concerns for priority review
• Identify practice management issues
• Submit complete, well-documented, organized audit reports within specified timelines
• Conduct follow-up spot audits to verify implementation of recommendations and compliance with prior undertakings
• Testify as a witness when required by Discipline Counsel at hearings
• Attend group and departmental meetings
• Promote knowledge, standards, and information sharing among team members and across departments

Explore Bilingual Auditor, Spot Audit at Law Society of Ontario. Review requirements and application details.

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Bilingual Auditor, Spot Audit