Enforcement Specialist

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.