Enforcement Specialist
- Employer
- CFP Board
- Location
- Washington, D.C.
- Salary
- Based on Experience
- Closing date
- Jul 25, 2022
View more
- Job Role
- Administration
- Employment Type
- Full Time
- Experience Level
- 1-4 years
- CFP® Certification
- Not necessary
Job Details
General Function
CFP Board seeks a highly motivated team player to serve as Enforcement Specialist. Under general supervision, this position contributes to the Enforcement team by supporting detection functions within the organization.
Essential Functions
- Works with Detection team to execute all detection functions of the organization, including background checks for candidates for CFP® Certification, CFP® professionals, and Professionals Eligible for Reinstatement; assists with conducting background checks for CFP Board volunteers and Board members.
- Maintain database of regulatory enforcement actions.
- Assist in the development and implementation of new detection processes.
- Commences the investigative process with the initial processing of new matters, including setting up electronic and hard-copy case files and entering information into databases.
- Manage early-stage case-related correspondence, including Notices of Investigation, requests for extensions, and initial responses.
- Conduct triage analysis for all investigation cases, closing cases that meet certain criteria and referring the remaining cases to the Investigations Team.
- Identify cases appropriate for summary proceedings (Interim Suspension, Administrative Order, Single Bankruptcy complaint) and shepherd through such proceedings.
- Serve as a point of contact for detection and disclosure-related issues for other departments in the organization.
- Performs other duties as assigned.
Company
Certified Financial Planner Board of Standards, Inc. (CFP Board) is a non-profit organization that serves the public by fostering professional standards in personal financial planning. We set and enforce the requirements for CERTIFIED FINANCIAL PLANNER™ certification — to uphold standards of competency and ethics for financial planners who are committed to CFP Board to putting their clients' best interests first.
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