Assistant General Counsel

Employer
CFP Board
Location
Washington D.C.
Salary
Based on Experience
Closing date
Sep 30, 2022

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Job Role
Manager
Employment Type
Full Time
Experience Level
5 to 9 years
CFP® Certification
Not necessary

Job Details

General Function

Under limited supervision, leads the development of standards and guidance materials concerning CFP Board’s Code of Ethics and Standards of Conduct; also provides ad hoc assistance with the adjudication of alleged violations of the Code and Standards and general legal matters.

Essential Functions 

  • Assists the General Counsel with the development of standards, including CFP Board’s Code of Ethics and Standards of ConductSanctions GuidelinesFitness Standards, and Procedural Rules
  • Assists the General Counsel with the development of guidance materials concerning CFP Board’s Code of Ethics and Standards of Conduct, including formal guidance materials and responses to individual requests for guidance submitted via email
  • Works with councils, commissions, and working groups charged with the responsibility of assisting with the development of, and feedback concerning, CFP Board’s standards and guidance materials
  • Develops extensive background memoranda, agendas, minutes, and other materials for council and commission meetings
  • Provides occasional assistance with the adjudication of alleged violations of the Code and Standards, including issuing relevant notices and materials, developing advice to hearing panels and to the Disciplinary and Ethics Commission (DEC), and drafting press releases and Case Histories (ACH) 
  • Collaborates with CFP Board’s Continuing Education department to review ethics CE materials for alignment with the Code and Standards
  • 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    
  • Provides occasional assistance with corporate governance matters, Board of Directors meeting materials, and the review of contracts
  • Recommends procedures and policies that will improve upon the efficiency of the department
  • 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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