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Enforcement Analyst

Employer
CFP Board
Location
Washington, D.C.
Salary
Based on Experience
Closing date
Aug 8, 2024

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Job Role
Analyst
Employment Type
Full Time
Experience Level
None
CFP® Certification
Not necessary

Job Details

Salary Range

$63,000.00 To 74,000.00 Annually

 

General Function

Under general supervision, the Enforcement Analyst investigates alleged instances of misconduct under CFP Board’s Code of Ethics and Standards of Conduct (“Code and Standards”) and, where appropriate, assists Senior Counsel, Enforcement with prosecuting misconduct before CFP Board’s Disciplinary and Ethics Commission.

 

Essential Functions

  • In consultation with Senior Counsel, Enforcement, efficiently and effectively investigates, researches, and analyzes alleged violations of CFP Board’s Code and Standards, including but not limited to reviewing allegations; organizing and analyzing evidence; researching applicable precedent; and recommending charges and sanctions
  • Prepares requests for documents and information; communicates with respondents and third parties; 
  • Interviews respondents and witnesses
  • Organizes and analyzes evidence
  • Assists Senior Counsel, Enforcement with preparing for on-the-record Oral Examinations of respondents and third parties
  • Prepares draft complaints; research applicable precedent; and recommends charges and sanctions to the Senior Counsel, Enforcement
  • Assists Senior Counsel, Enforcement in organizing hearing documents (“DEC Books”) for presentation to the Disciplinary Ethics Commission
  • Assists Senior Counsel, Enforcement with hearing preparations
  • Recommends procedures and policies that will assist in the efficiency of the department
  • Assists with enforcement projects and other initiatives as assigned
  • Performs other duties as assigned

 

Background/Skills/Abilities Preferred

  • Bachelor’s degree or equivalent related experience.  
  • Basic or working knowledge of broker-dealer, investment adviser and insurance regulations and/or industry 
  • Self-starter with strong motivation, proven results orientation and consistent track record
  • Outstanding attention to detail and organizational skills
  • Ability to quickly prioritize and meet critical deadlines
  • Excellent written and verbal communication skills
  • Ability to prepare and present facts in a logical, clear and concise manner
  • Strong customer service focus and ability to effectively communicate with individuals under distress
  • Proficiency with full suite of Microsoft Office applications

This position is based in the Washington D.C. office and works a hybrid schedule which could be changed at any time.

 

About CFP Board

CFP Board is the professional body for personal financial planners in the U.S. CFP Board consists of two affiliated organizations focused on advancing the financial planning profession for the public’s benefit. CFP Board of Standards (501(c)(6)) sets and upholds standards for financial planning and administers the prestigious CERTIFIED FINANCIAL PLANNERTM certification — widely recognized by the public, advisors and firms as the standard for financial planners — so that the public has access to the benefits of competent and ethical financial planning.  

CFP® certification is held by more than 100,000 people in the U.S. CFP Board Center for Financial Planning (501(c)(3)) addresses diversity and workforce development challenges and conducts and publishes research that adds to the financial planning profession’s body of knowledge. 

This position works on programs which are part of the 501 (c)(6). 

CFP Board believes that diversity of experience and perspective are strengths and seeks to continue to grow a highly committed, skilled, and collaborative staff.

CFP Board is an Equal Opportunity Employer. The applicable starting annual base salary is anticipated to be in the range of $64,000.00 to $74,000.00.  In addition to base salary, total compensation includes incentive compensation for which employees are eligible based on completion of individual goals.

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.

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