Case Investigator - Professional Ethics
Summary of Role
Communicate with and gather evidence from respondents to formulate case material for technical review. Ensure timely and complete compliance with directives imposed by the AICPA Professional Ethics Executive Committee (PEEC) intended to remediate practitioners that have been subject to an investigation by the Professional Ethics Division.
Accountabilities and Responsibilities
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Open new cases: send opening correspondence, set up cases in the database, verify complete submission of information and send noncooperation letters as necessary.
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Maintain an understanding of the Joint Ethics Enforcement Program (JEEP) to communicate with respondents and address their questions and concerns.
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Prepare resumption letters on cases coming out of deferral.
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Ensure that all work papers are in order and analyze all supporting documents received by respondents to confirm completeness and accuracy.
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Demonstrate an understanding of case material sufficient to complete preliminary data fields in a checklist format utilized in the investigative process to allow more efficient transfer of cases for managers’ review.
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Ensure timely and complete compliance with directives imposed by the AICPA PEEC on investigative matters.
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Communicate with respondents to ensure understanding of remedial directives, provide direction and explain membership impacts of investigation.
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Review respondent submissions to ensure timely and accurate completion of remedial directives.
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Prepare communications to the Enforcement Subcommittee for consideration and follow through on cases to closure.
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Assist in preparation of trial board memorandums for enhanced efficiency and transfer to technical manager for review.
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Respond timely to requests for information from committee members and state societies regarding the status of cases being monitored for completion of directives.
Supervisory Responsibilities
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None
Knowledge, Skills & Abilities Required
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Strong project management skills and good organizational abilities
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Ability to deal effectively and efficiently with partners and managers of public accounting firms and officers of publicly registered entities
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Strong written/oral communication and presentation skills.
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Proficiency in Microsoft Word and Excel
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Commitment to Quality
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Ability to work effectively in a team environment
Required Experience, Qualifications & Education
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Bachelor’s degree in accounting or related field
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Minimum of 3-5 years related experience
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Experience dealing with multiple concurrent projects and communications to outside parties
