Managing Director, Adjudication

Found in: Jooble US O C2 - 2 weeks ago


Washington DC, United States CFP BD OF STANDARD CTR FOR FINANCIAL PLANNING Full time
Job Description

Job Description

General Function

Reporting to the General Counsel, the Managing Director of Adjudication leads the adjudication department and the adjudicatory process in compliance with CFP Board’s Procedural Rules, Code of Ethics and Standards of Conduct, Fitness Standards, and Sanction Guidelines. The Managing Director will act as lead legal advisor to the Disciplinary and Ethics Commission (DEC), serve a decision maker with respect to motions that the parties file in adversarial proceedings, and manage the adjudication process, including all hearings. The Managing Director is accountable for enabling the DEC to prepare well-articulated written decisions that will be released to the public and that elevate the reputation and relevance of CFP Board. The Managing Director also will supervise a team of lawyers and paralegals in fulfilling organizational goals. Beyond these demanding responsibilities, the Managing Director of Adjudication also will be charged with a critical forward-looking responsibility and identifying and implementing a comprehensive evaluation of the adjudication process that meets CFP Board’s increasingly complex needs and demands in an age of constant regulatory developments. This role is part of the Executive Leadership Team.

Essential Functions

  • Ensures enforcement matters are reviewed or heard and resolved in accordance with the Procedural Rules, which provide a fair and expedient adjudicatory process.
  • Manages, reviews and analyzes filings made in enforcement matters.
  • Serves as DEC Counsel to hearing panels and the DEC, providing advice in connection with matters filed with the DEC.
  • Administers, organizes, and manages at least six sets of DEC hearings per year, plus additional “off-cycle” and interim suspension hearings, which currently average approximately 10 per year.
  • In the role of DEC Counsel, drafts and issues orders on Motions, Petitions, and Requests in accordance with the Procedural Rules.
  • Determines the conduct of hearings and the admissibility of evidence and facilitates hearings as described in the Procedural Rules.
  • Drafts and issues decision orders on behalf of the DEC.
  • Supervises other adjudication attorneys who also act as DEC Counsel, as well as adjudication paralegals and other relevant staff who administer the adjudication process.
  • Drafts, reviews, and approves press releases and Case Histories with regard to final DEC or administrative Orders.
  • Implements and maintains systems to facilitate case filing, tracking, and reporting (including to executive management).
  • Evaluates and applies new or revised procedural and substantive rules and guidance adopted by CFP Board and adopts policies, procedures, and systems necessary to implement new or revised rules and guidance.
  • Drafts, implements, and maintains policies and procedures which promotes the efficiency and effectiveness of the adjudicatory process.
  • Recruits, trains, and manages large numbers of volunteers, who are members of the DEC and Hearing Panel Volunteers.
  • Provides as-needed assistance to the General Counsel and Assistant General Counsel – Standards in supporting the Standards Resource Commission in developing guidance resources interpreting the Code and Standards.
  • Provides as-needed assistance to the General Counsel and the Managing Director, Government Relations and Public Policy in developing policy-related materials.

  • Provides as-needed assistance to the General Counsel and the Assistant General Counsel – Standards in reviewing CFP Board Continuing Education sponsor’s ethics program applications for alignment with the Code and Standards, in collaboration with CFP Board’s Continuing Education department.
  • 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.
  • Collaborates with other CFP Board Staff to periodically propose revisions to the Procedural Rules.
#J-18808-Ljbffr

  • Washington, United States CFP BD OF STANDARD CTR FOR FINANCIAL PLANNING Full time

    Job DescriptionJob DescriptionGeneral Function Reporting to the General Counsel, the Managing Director of Adjudication leads the adjudication department and the adjudicatory process in compliance with CFP Board’s Procedural Rules, Code of Ethics and Standards of Conduct, Fitness Standards, and Sanction Guidelines. The Managing Director will act as lead...

  • Executive Director, Performance Management

    Found in: Jooble US O C2 - 2 weeks ago


    Washington DC, United States CFP BD OF STANDARD CTR FOR FINANCIAL PLANNING Full time

    Reporting to the General Counsel, the Managing Director of Adjudication leads the adjudication department and the adjudicatory process in compliance with CFP Board’s Procedural Rules, Code of Ethics and Standards of Conduct, Fitness Standards, and Sanction Guidelines. The Managing Director will act as lead legal advisor to the Disciplinary and Ethics...

  • Cash/Revenue Manager

    Found in: Jooble US O C2 - 5 days ago


    Washington DC, United States Planned Parenthood of Metropolitan Washington Full time

    The Revenue Cycle Manager is responsible for the implementation, execution, and completion of all day-to-day Revenue Cycle functions, while ensuring workflows remain aligned with strategy, commitments, and goals of PPMW. The Revenue Cycle Manager will lead or direct the work of Reimbursement Specialists and Insurance Benefit Verification specialists to...

  • Cash/Revenue Manager

    Found in: Jooble US O C2 - 2 weeks ago


    Washington DC, United States Planned Parenthood of Metropolitan Washington Full time

    The Revenue Cycle Manager is responsible for the implementation, execution, and completion of all day-to-day Revenue Cycle functions, while ensuring workflows remain aligned with strategy, commitments, and goals of PPMW. The Revenue Cycle Manager will lead or direct the work of Reimbursement Specialists and Insurance Benefit Verification specialists to...

  • Director, Office of Travel Management

    Found in: Jooble US O C2 - 3 weeks ago


    Washington DC, United States American Academy of Actuaries Full time

    The Director of Public Policy Outreach is an external-facing, leadership role within the Academy’s Public Policy department and in support of the Academy’s public policy mission, strategy, and goals. The Director works with other Department leaders and under the direction of the Senior Director to promote and support the Academy with two primary...

  • Director, Office of Travel Management

    Found in: Jooble US O C2 - 2 weeks ago


    Washington DC, United States American Association of Collegiate Registrars and Admissions Officers Full time

    Director, Enrollment Management Systems and Operations Staff The Office of Enrollment Management Operations is responsible for coordinating all internal and external communications, fulfillment activities, prospects management, applications management, and enrollment data management for the division of enrollment management. The Director of Enrollment...

  • Managing Director, Healthcare Practice

    Found in: Jooble US O C2 - 3 weeks ago


    Washington DC, United States SRA International Full time

    McAllister & Quinn is a federal and foundation grants consulting and government relations firm headquartered in Washington, D.C. We offer our 200+ clients a unique blend of comprehensive grant consulting, strategic advising,and government relations services. Specifically, McAllister & Quinn provides our clients the knowledge and skills to seek federal and...

  • Remote Director of Project Management

    Found in: Jooble US O C2 - 2 weeks ago


    Washington DC, United States LVI Associates Full time

    We have a current opportunity for a Director of Project Delivery on a permanent basis, that is based in Houston, Texas. As a leading independent power producer, my client is looking to bring on an accomplished and self-motivated director to lead their pre-construction and construction teams in the utility scale solar sector. 10+ years experience within...

  • Office Support II with Security Clearance

    Found in: Dice One Red US C2 - 2 weeks ago


    Washington DC, United States DNI Delaware Nation Industries Full time

    Overview The United States Department of State, Bureau of Political-Military Affairs, Office of the Directorate of Defense Trade Controls (PM-DDTC) is responsible for the regulation of defense trade through the Arms Export Control Act (AECA) and its implementing regulations, the International Traffic in Arms Regulations (ITAR). DDTC regulates temporary and...

  • Senior Director, Advocacy Management

    Found in: Jooble US O C2 - 3 weeks ago


    Washington DC, United States Woodberry Associates Full time

    Woodberry Associates seeks a Senior Director to join its growing team. Based in Washington, DC, Woodberry Associates is a public affairs firm that specializes in non-profit management and stakeholder advocacy, primarily in the fields of health care and education policy. Our team is dynamic, creative, collaborative and committed.Our team members work hard...

  • Director, Project Management

    Found in: Jooble US O C2 - 5 days ago


    Washington DC, United States AIPAC Full time

    AIPAC's mission is to encourage and persuade the U.S. government to enact specific policies that create a strong, enduring, and mutually beneficial relationship with our ally Israel. Our focus is clear - we come to work every day motivated to keep America strong and Israel secure. Our Washington, D.C. office is looking for a Director of Prospect...

  • Director of Project Management/Freelance

    Found in: Jooble US O C2 - 2 weeks ago


    Washington DC, United States Encore Global Full time

    The Director, Production provides professional, positive, team building leadership to the Encore Production team. The Director, Production collaborates with the market leadership team on vision and strategy to establish a high level, consistent delivery on mid-level and full show production events. This position is responsible for developing and implementing...

  • Senior Director of Product Management

    Found in: Jooble US O C2 - 5 days ago


    Washington DC, United States Expedia, Inc. Full time

    Senior Director of Product Management page is loaded Senior Director of Product Management Apply locations Washington - Seattle Campus time type Full time posted on Posted 2 Days Ago job requisition id R-86824 If you need assistance during the recruiting process due to a disability, please reach out to our Recruiting Accommodations Team through the...

  • Writing Director

    Found in: Jooble US O C2 - 3 weeks ago


    Washington DC, United States MRIGlobalSearch Full time

    Location: DC Metro They are seeking a Director of Capture to join their team in the DC Metro area. Company has grown ~10% YOY for 10+ years through new contract awards & on-contract growth Premier Modern Software Development, Cloud Solutions & Advanced Analytics solution provider Bachelor's degree, clearable 10+ years of federal capture management...

  • Managing Director

    Found in: Jooble US O C2 - 2 weeks ago


    Washington DC, United States United Nations Foundation Full time

    The Executive Director develops and manages UN Foundation global health advocacy work focused on Capitol Hill and the Executive Branch. The Executive Director reports to UNF Senior Vice President and President of the Better World Campaign. Serves as part of the UNF/BWC advocacy team which works in close collaboration with each other to craft and...

  • REMOTE Director of Project Management

    Found in: Jooble US O C2 - 2 weeks ago


    Washington DC, United States LVI Associates Full time

    We have a current opportunity for a Director of Project Delivery on a permanent basis, that is based in Houston, Texas. As a leading independent power producer, my client is looking to bring on an accomplished and self-motivated director to lead their pre-construction and construction teams in the utility scale solar sector. Requirements/qualifications ...

  • Manager/Associate Director, Political Advocacy

    Found in: Jooble US O C2 - 5 days ago


    Washington DC, United States Federation Of American Hospitals Full time

    Manager/Associate Director, Political Advocacy R eports to VP, Government Relations and Political Affairs, with additional reporting duties to SVP, External Affairs Description: The Manager/Associate Director, Political Advocacy is a key member of the Federation of American Hospitals (FAH) Public Affairs team, working with both the government relations...

  • Director, Medical Director

    Found in: Jooble US O C2 - 1 week ago


    Washington DC, United States Open Systems Healthcare Full time

    Job Description At Open Systems Healthcare, we're taking on a mission bigger than ourselves - providing care to those who need it, regardless of their life situation. We're a home care startup experiencing explosive growth because we look at home care differently than most. It means working together to achieve health outcomes that make a difference in...

  • Director of Administration

    Found in: Jooble US O C2 - 1 week ago


    Washington DC, United States American Sugarbeet Growers Assn Full time

    Description : Manage a four-person office and support a professional team consisting of the CEO, VP Government Relations and VP of Science and Innovation, along with a 50-member Board of Directors.  This position is in a small and very professional organization, with strong support by its farmer membership. The applicant will be replacing our retiring...

  • Managing Director, APA Registry

    Found in: Jooble US O C2 - 2 weeks ago


    Washington DC, United States American Psychiatric Association Full time

    Job Details Description Job title: Managing Director, APA Mental Health Registry Location: Washington, DC and allow telecommuting from anywhere within the U.S. What will I be doing? Manage data quality strategy and lead refinement of the registry to ensure the integrity of the registry data and overall public health. Review the data/system...