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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
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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.

Find Us
Telephone
(202) 379-2200
Location
1425 K St NW Suite 800
Washington
DC
20005
United States
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