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Associate General Counsel, Adjudication

CFP Board
Washington D.C.
Based on Experience
Closing date
Apr 9, 2023

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

Job Details

General Functions: 

CFP Board seeks a highly motivated team player to serve as Associate General Counsel - Adjudication.  This position assists with the adjudicatory process in compliance with CFP Board’s Code of Ethics and Standards of Conduct (Code and Standards) and Procedural Rules.


Essential Functions:

  • Ensures disciplinary matters are resolved in accordance with the Procedural Rules, which provide for a fair and expedient adjudicatory process.
  • Reviews and analyzes filings made in disciplinary matters.
  • Serves as counsel to the Disciplinary and Ethics Commission (“DEC”), which is charged with reviewing and taking appropriate action with respect to alleged violations of the Code and Standards and Pathway to CFP® Certification, and conduct reviewed pursuant to the Fitness Standards for Candidates and Professionals Eligible for Reinstatement.  
  • Represents Hearing Panels and Settlement Review Panels and the DEC with respect to cases presented. 
  • Attends hearings and actively and contemporaneously advises or provides legal analyses to the DEC or Deputy General Counsel – Adjudication on events as they occur in real-time.
  • Timely prepares draft orders for the DEC’s consideration.
  • Prepares other documents, including correspondence.
  • Drafts and reviews press releases and Case Histories.
  • Drafts summaries of DEC decisions and other guidance documents and resources concerning the adjudication process.
  • Drafts other guidance resources concerning the Code and Standards.
  • Recommends and drafts policies and procedures which promote the efficiency and effectiveness of the adjudicatory process.
  • Assists with the conduct of disciplinary hearings, as appropriate.
  • Provides legal research and writing support for issues pertaining to federal and state regulation of broker-dealers, registered investment advisers, insurance agents, bankers, and other financial professionals.
  • Assists the Deputy General Counsel-Adjudication and the General Counsel with initiatives, projects or other duties, as assigned.


Background/Skills/Abilities Preferred:

  • Licensed attorney, active status, and in good standing, in a jurisdiction eligible for District of Columbia admission reciprocity.
  • Minimum of five (5) years of legal practice experience at a financial services regulator, 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.
  • Exemplary written and oral communications skills, including the ability to summarize issues and the means to address them.
  • Demonstrated commitment to collaboration within department and across organizational functions.
  • Outstanding attention to detail, multi-tasking, time management, and organizational skills with ability to quickly prioritize and meet critical deadlines.
  • Proficiency with Microsoft Office.
  • Experience as an enforcement attorney presenting cases in administrative hearings or similar substantive legal practice experience is preferred. 
  • Experience as a judicial law clerk is preferred.
  • Experience with procedural and evidentiary rules is preferred.
  • Experience in formal hearings or trials is preferred.
  • A working knowledge of broker-dealer, investment adviser, insurance, and banking regulations (and regulators) is preferred.
  • Experience working with volunteer boards or commissions is preferred.


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. 


Certified Financial Planner Board of Standards, Inc. (“CFP Board”), headquartered in Washington, D.C., is the professional body for personal financial planners in the U.S. CFP Board sets standards for financial planning and administers the prestigious CFP® certification so that the public has access to and benefits from competent and ethical financial planning.


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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