Under limited supervision, investigates alleged instances of misconduct under CFP Board’s Code of Ethics and Standards of Conduct and, where appropriate, prosecutes misconduct before CFP Board’s Disciplinary and Ethics Commission.
Essential Functions
Efficiently and effectively investigates, researches, and analyzes alleged violations of CFP Board’s Code of Ethics and Standards of Conduct
Provides guidance to Senior Analyst, Enforcement, Counsel, Enforcement and other department personnel on the handling of investigations and complaints
Identifies and expedites targeted classes of cases, such as investigations involving possible breaches of fiduciary duty, financial planning services or customer harm
Prepares requests for documents and information
Interviews respondents and witnesses
Organizes and analyzes evidence
Researches applicable statutes, rules and regulations relevant to an investigation
Conducts on-the-record Oral Examinations of respondents and third-party witnesses
Determines whether there is probable cause to believe that grounds for sanction exist
Prepares draft complaints; researches applicable precedent; and recommends charges and sanctions to the Assistant Director of Enforcement
Acts as an advocate on behalf of CFP Board in hearings before CFP Board’s Disciplinary and Ethics Commission
Collaborates with the Director, Investigations as to the handling of investigations, and complaints
Recommends procedures and policies that will assist in the efficiency of the department
Provides legal research and writing support for issues pertaining to federal and state regulation of broker-dealers, registered investment advisers, insurance agents and other financial professionals
Performs other duties as assigned
Background/Skills/Abilities Preferred
J.D. (Juris Doctorate) degree from an accredited law school
Active status licensed attorney in any state; eligible to be admitted in the District of Columbia
Minimum of 10 years of experience as an enforcement attorney presenting cases in administrative hearings or similar substantive legal practice experience
Financial services regulatory background
Advanced working knowledge of broker-dealer, investment adviser and insurance regulations
Self-starter with strong motivation, proven results orientation and consistent track record
Outstanding attention to detail and organizational skills
Ability to quickly prioritize and meet critical deadlines
Excellent written and verbal communication skills
Ability to prepare and present facts in a logical, clear and concise manner
Strong customer service focus and ability to effectively communicate with individuals under distress
Proficiency with full suite of Microsoft Office applications
This position is based in the Washington D.C. office and works a hybrid schedule which could be changed at any time.
CFP Board believes that diversity of experience and perspective are strengths and seeks to continue to grow a highly committed, skilled, and collaborative staff.
Certified Financial Planner Board of Standards (“CFP Board”) – headquartered in Washington, D.C. – is the certifying body for financial planning professionals. It is a non-profit organization that fosters professional standards in personal financial planning through its setting and enforcement of the education, examination, experience, ethics, and other requirements for the CFP® certification.
