Assistant General Counsel - Standards
- CFP Board
- Washington D.C.
- Based on Experience
- Closing date
- Apr 9, 2023
- Job Role
- Employment Type
- Full Time
- Experience Level
- 5 to 9 years
- CFP® Certification
- Not necessary
The Assistant General Counsel 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
- Assists the General Counsel with the development of standards, including CFP Board’s Code of Ethics and Standards of Conduct, Sanctions Guidelines, Fitness 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
- J.D. (Juris Doctorate) degree from an accredited law school
- Active status licensed attorney in any state or District of Columbia; eligible to be admitted in D.C.
- Five or more years of legal practice experience at a financial services regulatory agency, large law firm, or in-house legal or compliance department, preferably in the financial services field, with demonstrated legal research, analytical, critical thinking, writing and communication skills.
- A working knowledge of broker-dealer and investment adviser regulations preferred. Working knowledge of insurance regulations a plus.
- Exemplary written and oral communications skills, including the ability to summarize issues and the means to address them
- Demonstrated commitment to collaboration with volunteers and across organizational functions.
- Outstanding attention to detail, multi-tasking, time management, and organizational skills with ability to quickly prioritize and meet critical deadlines.
- Strong customer service focus and ability to effectively communicate
- Self-starter with strong motivation and sense of ownership
- Ability to quickly prioritize and meet critical and sometimes competing deadlines
- Ability to exercise discretion in handling confidential and sensitive matters
- Proficiency with Microsoft Office
This position is based in the Washington D.C. office and works a hybrid schedule which could be changed at any time.
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.
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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