• Professional Standards Investigations Specialist
  • Position: Standards Enforcement Officer
  • Job/Opportunity Number: 1277
  • Unit/Department:
  • Organization: CPA Ontario
  • Website: www.cpaontario.ca
  • Location: Toronto
  • Term: Permanent; full-time
  • Posting Date:
    July 10, 2020
  • Deadline to Apply: Open until a suitable candidate is found
  • Compensation:
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    At CPA Ontario, we are a regulator, educator, provider, advocate and thought leader. We ensure that our more than 94,000 members and 22,000 students meet the highest standards of integrity and expertise. We provide certifications, continued training and learning for the profession. We serve our members and students with a commitment to quality and efficient delivery. We champion the interests of our profession with the business community. And we develop cutting-edge ideas and thinking that evolve the profession. CPAs represent a globally recognized, premium designation. Our Chartered Professional Accountants are valued by organizations in all industries for their financial expertise, strategic thinking, management skills, global perspectives and leadership.

    CPA Ontario’s strategic priorities include attracting a pipeline of new entrants to the profession, building member connectivity, maintaining high standards and creating a strong brand. As an organization, we are guided by a set of core values and behaviors that are reflected in the work we do, how we treat each other, and how we represent ourselves.

    We protect the public. We advance our profession. We guide our CPAs. We are CPA Ontario. For more information, visit us at cpaontario.ca

    Position Description

    As our Standards Enforcement Department continues its expansion, we are in search of a CPA designated accounting professional with a minimum of 5-7 years post-qualification experience OR a LL.B./J.D designated legal professional with a minimum 3-5 years’ practice experience. Reporting to the Director, Standards Enforcement, the successful candidate will be responsible for conducting the preliminary investigation of complaints of professional misconduct, preparing reports for the review and consideration of the Professional Conduct Committee (the PCC), and informing CPA Ontario members and the general public of the complaint review and investigation process and results thereof. This position specializes in a variety of large, complicated and technical cases.

    Major Responsibilities
    • Conducting preliminary investigations of complaints of professional misconduct, including:
      • Preparing Case Plans and determining evidence required to prove allegations of professional misconduct
      • Identifying risk and conducting ongoing risk analysis
      • Gathering, processing and analyzing evidence for possible breaches of the CPA Code of Professional Conduct
      • Reasoning through complex spoken and written information
      • Preparing reports and related document briefs that will be relied upon by the PCC in carrying out the Committee’s mandate
      • Communicating, orally and in writing, with complainants and members to gather sufficient information and supporting documentation about complaints of professional misconduct
      • Conducting extensive research to obtain sufficient information and supporting documentation relevant to the matter subject to the complaint; and
    • Analysis and monitoring of the ongoing workflow and prioritization of files for review by the PCC and reporting progress to the Director, Standards Enforcement
    • Ability to work independently and to collaborate with other Standards Enforcement Officers, particularly with respect to the more unusual and complex cases, workflow, report writing and department processes
    • Preparing responses to members’ queries on the application of the CPA Code of Professional Conduct, including researching complicated areas and drafting responses to opinion requests
    • Responding to questions from members of the public, complainants, and CPA Ontario members about the complaints and investigation process
    • Managing the Professional Conduct Committee process
    • Participating in the recruitment and training of members of the Professional Conduct Committee
    • Providing advice to the Professional Conduct Committee in accordance with the provisions of Regulation 15-1: Complaints
    • Leading and/or participating in special projects and process improvement initiatives as requested by the Director, Standards Enforcement
    • Liaising with other areas of CPA Ontario with respect to media enquiries or other issues, as applicable
    • Participating in CPA Ontario committees and CPA Canada committees, working groups and task forces, as assigned by the Director, Standards Enforcement, on matters related to or impacting the CPA Code of Professional Conduct or the operations of the Standards Enforcement department
    • Conducting presentations on the complaint review and investigation process as assigned by the Director, Standards Enforcement
    • Transferring cases directed by the Professional Conduct Committee for investigation
    • Providing guidance and direction to Standards Enforcement Coordinators and external professionals
    Qualification Requirements
    • Successful completion of a University Degree
    • CPA designation with a minimum of 5-7 years post-qualification experience in public practice, with an emphasis on either Tax, Audit & Assurance or Forensics/General Accounting is required

    OR

    • LL.B. or J.D designation with a licence with the Law Society of Ontario, and are entitled to practice law in Ontario, with a minimum of 3-5 years’ practical experience, gained through private practice, in a regulatory environment, or combination thereof. A practice background in civil litigation is preferred.
    • Strong organization and time-management skills
    • Experience in investigative and forensic accounting combined with additional qualifications, which may include one or more of the following: Master of Forensic Accounting (MFAcc, formerly Diploma in Forensic Accounting or DIFA); Certified in Financial Forensics (CFF); Certified Fraud Examiner (CFE) and/or Certified Forensic Investigator (CFI) is an asset
    • Ability to manage a complex, multi-issue and diverse caseload with a strong attention to detail
    • Skilled and experienced at organizing voluminous, often technical documents to focus on their relevance with respect to the CPA Ontario Bylaw, Regulations, and the CPA Code of Professional Conduct
    • Thorough understanding of the CPA Code of Professional Conduct
    • Experienced and skillful at report writing
    • Working knowledge of Microsoft Word, Excel, Microsoft Access, and Adobe Acrobat Pro
    • Strong communication and interpersonal skills, including the ability to communicate effectively with difficult people
    • Ability to manage multiple tasks and shift priorities based upon the initial and ongoing risk analysis, the PCC deadlines, or the needs of the department
    • Self-starter with ability to seek out and research matters of interest to committees

    We thank all candidates for their interest, however, only those being considered will be contacted. 

    CPA Ontario is an inclusive employer. Accommodation is available under the Ontario Human Rights Code. If you require a disability-related accommodation in order to participate in the recruitment process, please email accessibility@cpaontario.ca with “Accommodation Required” in the subject line to provide your contact information. Recruitment Services staff will contact you within 48 hours.

    BEFORE APPLYING FOR THIS ROLE
    1. Visit the Canadian Regulatory Guide to learn more about this organization and the role of regulatory bodies in Canada.
    2. Indicate you found this opportunity on RegulatoryJobs.ca