What are the responsibilities and job description for the Senior Accountant position at State Bar CA?

Job Description

Regulation Division - Client Trust Account Protection Program (CTAPP)

Annual Salary Range : $102,263 - $136,352

Exempt / Union Represented

This position allows for up to four 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), and Minimum Continuing Legal Education requirements. The CTAPP was established to help protect client funds held in trust by California attorneys through detection and deterrence of client trust accounting misconduct. The Division also registers law corporations and, limited liability partnerships, certifies minimum continuing legal education providers and lawyer referral services, and maintains the official roll of attorneys on behalf of the California Supreme Court-the records of all attorneys licensed to practice in California. The Division focuses on proactive regulation by recommending laws and promulgating rules to support the ethical practice of law and conducts preventative education and provides resources and programs on licensee's professional responsibility obligations through e-learning, live presentations, publications, and other content, as well as through the Ethics Hotline, which offers ethics research assistance to licensees. Finally, the Division includes the Lawyer Assistance Program-Support Services, which provides education on competence and attorney wellness, as well as short-term counseling and support groups for legal professionals. The division also supports key committees and working groups that provide ethics guidance, and address policy and rule changes.

About the Position

The CTAPP Senior Accountant plays an important role in a new regulatory program designed to protect client funds held in trust by California attorneys through detection and deterrence of client trust accounting misconduct. This position involves conducting compliance reviews and complex investigative audits of attorneys' trust accounting practices to ensure compliance with applicable laws, including the Rules of Professional Conduct, while also developing and adapting procedures as the program evolves. The Senior Accountant prepares detailed reports, analyzes findings, communicates with licensees to educate them when possible, and recommends corrective actions. Additionally, this role requires collaboration with external accountants, emphasizing effective communication and knowledge of accounting practices, auditing standards, and investigative methodologies.

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.

The CTAPP Senior Accountant classification is distinguished from the lower-level CTAPP Accountant in the series in that the CTAPP Senior Accountant assumes greater responsibility for conducting more complex investigative audits that require specialized knowledge, abilities, skills, and experience in accordance with the procedures and policies of the CTAPP Program and the State Bar, and exercises more independent judgment in the performance of their duties. Duties involve highly complex and sensitive issues and incumbents are expected to work with minimal direction.

Examples of Essential Duties

Duties may include, but are not limited to, the following :

Performs sensitive, and complex compliance review procedures and enhanced investigative audits of attorney client trust accounting records.
Analyzes investigative reports and other records and prepares reports of findings.
Ensures accuracy of information and effectively communicates findings both verbally and in writing.
Makes recommendations for identified violations of the Rules of Professional Conduct.
Reviews the work of external accountants in their role as agents of the State Bar, ensuring that contract requirements are followed and in accordance with State Bar policies.
Confers with senior management staff to discuss, evaluate, and make policy and procedures recommendations regarding compliance reviews and investigative audits.
Uses professional judgment and State Bar developed guidelines to recommend appropriate outcomes of compliance reviews, including mandatory corrective action plans and referrals to the Office of Chief Trial Counsel for discipline.
Serves in a lead capacity over engagement teams or may supervise individual professional, technical, and support staff.
Performs other duties that may not be specifically included within this position description but are consistent with the general level of the job and the responsibilities described.

Employment Standards

Knowledge of :

Principles of U.S. Generally Accepted Accounting Practices (GAAP).

Principles of U.S. Generally Accepted Auditing Standards (GAAS).

Principles and practices of electronic data processing necessary to audit financial records.

Principles of computer information systems, including database, report generation, word processing, and spreadsheet analysis in auditing software management, Microsoft Word, and Excel.

Principles of problem identification, analysis, and resolution.

Principles of data analysis and research tools.

Principles of effective written and verbal presentations.

Principles of public relations / customer service.

Principles of organizational behavior and conflict resolution.

Principles of project planning and implementation.

Within the introductory period, obtain a working knowledge of the State Bar office and functions.

Within the introductory period, obtain a working knowledge of the law governing the proper use of trust accounts, trust account recordkeeping requirements and the duties of licensees holding entrusted funds.

Ability to :

Plan, organize, direct, and conduct compliance reviews and investigative audits, including analysis of financial records, digital files, and other related documents and automated financial systems utilizing a variety of professionally accepted accounting methodologies to identify violations of the California Rules of Professional Conduct, including evidence of economic fraud or criminal or unethical activity.

Provide guidance, training, and lead direction to junior staff in conducting compliance reviews and investigative audits.

Utilize audit management software to organize, plan, assign, and execute procedures.

Monitor and recommend refinement of standard compliance review procedures.

Adjust audit management procedures as needed and provide guidance to both internal and external accountants when adjustments and procedures requirements are updated.

Use professional judgment to recommend an appropriate outcome of a compliance review or investigative audit and communicate expectations to the licensee in a clear, professional, and educational manner.

Receive and relay detailed information through verbal and written communication.

Communicate clearly and effectively in person, by telephone, computer, and in writing.

Speak publicly to large groups of people.

Perform under stress and adopt practical courses of action.

Effectively interact with others.

Effectively address conflict.

Create professional work products, including detailed analysis, utilizing computer applications such as Microsoft Word, Excel, and PowerPoint.

Manage multiple, simultaneous assignments to plan and prioritize day-to-day work independently and to meet deadlines.

Lead others to accomplish program and project implementation.

Maintain appropriate confidentiality in program administration and interactions with contractors, consultants, experts, and others.

Exercise sound judgment and decision-making.

Make recommendations on complicated and difficult program matters and present them effectively to governing authorities.

Interpret and analyze complex written documents.

Act with integrity in all State Bar-related business.

Quickly adapt to changing environments and critical needs; adopt and effectively implement courses of action.

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.

About the State Bar

The State Bar of California's mission is to protect the public and includes the primary functions of licensing, regulation, and discipline of attorneys; the advancement of the ethical and competent practice of law; and support of efforts for greater access to, and inclusion in, the legal system.

Our Values

Clarity | Investing in Our People | Excellence | Respect | Growth Mindset

Learn more about our values.

DEI Statement

We are a diverse, equitable, and inclusive workplace where all of our employees and prospective employees experience fairness, dignity, and respect.

Learn more about our commitment to DEI.

Salary : $102,263 - $136,352

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