Senior Compliance Auditor (CPA)

Annual Salary Range: $104,308 - $139,079 FLSA Exempt / Union Represented This position allows for up to 4 days of remote work per week. About the Office The Division of Regulation ensures State Bar licensees comply with obligations imposed by the State Bar Act, the Rules of Court, and the Rules of the State Bar, including annual reporting and registration, licensing fee, Client Trust Account Protection Program (CTAPP), Minimum Continuing Legal Education (MCLE) requirements, and other programs and services. California attorneys are responsible for safekeeping over $14 billion in funds held in trusts for their clients and other persons. The CTAPP program within the Division of Regulation was implemented in 2023, and was designed to proactively enhance public protection related to an attorney’s handling of entrusted funds and property by ensuring proper accounting and safeguards for client and third‑party funds entrusted to attorneys and by educating and supporting attorneys with the ethical and accounting requirements of managing client trust accounts. About the Role The CTAPP Senior Accountant plays an important role in the CTAPP team. This position involves conducting and reviewing agreed‑upon procedures engagements and investigative audits of attorneys' trust accounting practices to ensure compliance with applicable laws, including the Rules of Professional Conduct. The Senior Accountant performs procedures, analyzes and prepares documents of PBC records, writes specific and detailed description of findings based upon their observations, recommends conclusions and recommendations based upon observations, and communicates with licensees to educate and recommends corrective actions. Additionally, this role requires review of external accountants’ engagements, emphasizes effective communication and knowledge of accounting practices, auditing standards, and investigative methodologies. This role also serves as reviewer of CTAPP Accountants’ work, including evaluation of proposed conclusions and recommendations of compliance review findings and overall outcome determination of the compliance review. The Ideal Candidate Has experience and is technically proficient in performing attestation engagements; has served as a reviewer of other team members’ work; communicates clearly and effectively both verbally and in writing; efficiently manages their time and proactively communicates with team members; exercises sound judgment in discerning important versus unimportant details; enjoys and is skilled in educating others about accounting and compliance standards and practices; is flexible and creative in solving emerging issues; can see both the big picture and the detail support. This person will be driven to be a resource for the CTAPP Accountants and our licensees and works with excellence. Definition Under general supervision, the Client Trust Account Protection Program (CTAPP) Senior Accountant performs professional accounting and investigative work, including planning, organizing, and performing compliance reviews and complex investigative audits of attorney trust accounts to confirm licensee compliance with applicable laws, including the Rules of Professional Conduct; prepares compliance reviews and investigative audit reports; reviews, analyzes, and approves recommended outcomes for the compliance reviews and investigative audits conducted by CTAPP Accountants; coordinates with external accountants and communicates with licensees; and performs other related functions as assigned. The CTAPP Senior Accountant may act as an individual contributor or serve in a lead capacity over engagement teams or individual professional, technical, and support staff. Distinguishing Characteristics The CTAPP Senior Accountant is distinguished from the higher‑level CTAPP Supervising Accountant in that the CTAPP Senior Accountant is focused on reviewing compliance reviews and performing complex investigative audits, whereas the CTAPP Supervising Accountant provides supervisory expertise regarding the outcome of complex compliance reviews and investigative audits and exercises a higher degree of independent judgment and decision making in overall policy making and refinement of processes and procedures. Minimum Qualifications Education: Bachelor’s degree in finance, business, or accounting is required; a master’s degree is preferable. Experience: Minimum four (4) years of experience conducting financial or compliance audits. License, Certificate, and Registration Requirements: Possession of an active Certified Public Accountant (CPA) License issued by the California Board of Accountancy (CBA) under the California Department of Consumer Affairs or equivalent. CPA certification must be maintained throughout employment. Additional designation as a Certified Fraud Examiner (CFE), Certified in Financial Forensics (CFF), and/or Certified Internal Auditor (CIA) preferred. Applicants who meet the Minimum Qualifications will be required to successfully complete the State Bar’s selection process for this classification. #J-18808-Ljbffr State Bar of California