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Professional Standards Adjudication Paralegal

CFP Board
Washington D.C.
Based on Experience
Closing date
Jun 4, 2023

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Job Role
Employment Type
Full Time
Experience Level
1-4 years
CFP® Certification
Not necessary

Job Details

General Functions

Provides paralegal support for the adjudicatory processes of the Disciplinary and Ethics Commission (“DEC”) and Counsel to the DEC (“DEC Counsel”), to include preparing and maintaining records and hearing materials, drafting correspondence, scheduling hearings, and interfacing with the DEC and other volunteers to facilitate DEC hearings and reviews. 


Essential Functions:

  • Collaborates with the Deputy General Counsel – Adjudication to ensure disciplinary matters are resolved in accordance with CFP Board’s Procedural Rules, which provide for a fair and expedient adjudicatory process.
  • Manages large caseload of approximately 200 cases/year and supports the DEC and DEC Counsel with proceedings such as scheduling, preparing orders for issuance, and drafting related correspondence.
  • Assists with the facilitation of hearings, as appropriate.
  • Reviews and maintains case filings and ensures the accuracy of the records of cases.
  • Prepares case materials (“DEC Books”) in advance of hearings and reviews for members of the DEC, hearing panel volunteers, DEC Counsel, and the parties and their counsel.
  • Assists attorneys in recruiting and training hearing panel volunteers and ensuring that hearing panel volunteers and members of the DEC do not have conflicts of interest under the Procedural Rules.
  • Updates docket and other databases in accordance with CFP Board requirements, assuring the ongoing ability to access, edit, research, and accurately report data as required.
  • Attends meetings of CFP Board Councils, Committees, and Commissions, and develops meeting minutes.
  • Interfaces with other CFP Board staff with regard to meeting planning and preparation, including scheduling and travel, and in connection with the issuance of press releases announcing public sanctions. 
  • Prepares, submits and tracks department invoices and expense reports related to DEC hearings and meetings through accounting system (Concur).
  • Conducts legal research as needed.
  • Performs other duties as assigned.  


Background/Skills/Abilities Preferred:

  • Bachelor’s degree and/or a paralegal certificate. 
  • Minimum 2+ years of legal experience.
  • Knowledge and experience working with case dockets, case files, and/or large amounts of documents.
  • Demonstrated experience and expertise in litigation and/or adjudication.
  • Proficiency in legal software or systems, such as Westlaw, Clio, PACER.
  • Proficiency with Microsoft Office (including Excel) and experience in association management systems (NetFORUM) preferred.
  • Demonstrated ability to deal with confidential/sensitive matters in a discrete and professional manner.
  • Excellent attention to detail, strong organizational and prioritization skills with the ability to meet deadlines in a fast-paced environment.
  • Ability to write and communicate in a legal environment.
  • Ability to analyze relevant data and present it in a logical and compelling manner; critical thinking is essential.
  • Strong customer service skills.


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.


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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