Enforcement Counsel

General Functions: Under general supervision, investigates alleged instances of misconduct under CFP Board’s Code of Ethics and Standards of Conduct (“Code and Standards”) and, where appropriate, prosecutes misconduct before CFP Board’s Disciplinary and Ethics Commission.

 Essential Functions

• In consultation with Senior Counsel, Enforcement, efficiently and effectively investigates, researches, and analyzes alleged violations of CFP Board’s Code and Standards, including but not limited to reviewing allegations; organizing and analyzing evidence; researching applicable precedent; and recommending charges and sanctions
• Prepares requests for documents and information; communicates with respondents and third parties; 
• 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

• Prepares draft complaints; researches applicable precedent; and recommends charges and sanctions to the Senior Counsel, Enforcement

• Acts as an advocate on behalf of CFP Board in hearings before CFP Board’s Disciplinary and Ethics Commission 
• Assists Senior Counsel, Enforcement in organizing hearing documents (“DEC Books”) for presentation to the Disciplinary Ethics Commission
• Assists Senior Counsel, Enforcement with hearing preparations
• Recommends procedures and policies that will assist in the efficiency of the department
• Assists with enforcement projects and other initiatives as assigned  
• Performs other duties as assigned

 Background/Skills/Abilities Preferred

• J.D. (Juris Doctorate) degree from an accredited law school required
• Active status licensed attorney in any state; eligible to be admitted in the District of Columbia

• Basic or working knowledge of broker-dealer, investment adviser and insurance regulations and/or industry desired

• 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

To apply, submit your resume and one-page letter summarizing your interest, qualifications, and salary expectations. 

The 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. 

CFP Board believes that diversity of experience and perspective are strengths and seeks to continue to grow a highly committed, skilled and collaborative staff.