Sr. Counsel, Enforcement

4 weeks ago

Washington, United States CFP Board Full time

Under limited supervision, the Senior Counsel of Enforcement investigates alleged instances of misconduct under CFP Board's Code of Ethics and Standards of Conduct and, where appropriate, prosecutes misconduct before CFP Board's Disciplinary and Ethics Commission.

Essential Functions

* Efficiently and effectively investigates, researches, and analyzes alleged violations of CFP Board's Code of Ethics and Standards of Conduct
* Provides guidance to Analyst, Senior Analyst, Counsel and other Enforcement department personnel on the handling of investigations and complaints
* Identifies and expedites targeted classes of cases, such as investigations involving possible breaches of fiduciary duty, financial planning services or customer harm
* Prepares requests for documents and information
* Interviews respondents and witnesses
* Organizes and analyzes evidence
* Researches applicable statutes, rules and regulations relevant to an investigation
* Conducts on-the-record Oral Examinations of respondents and third-party witnesses
* Determines whether there is probable cause to believe that grounds for sanction exist
* Prepares draft complaints; researches applicable precedent; and recommends charges and sanctions to the Director, Investigations
* Acts as an advocate on behalf of CFP Board in hearings before CFP Board's Disciplinary and Ethics Commission
* Collaborates with the Director, Investigations as to the handling of investigations, and complaints
* Oversees the investigative work of an Analyst or Senior Analyst
* Recommends procedures and policies that will assist in the efficiency of the department
* Provides legal advice to CFP Board in the context of conducting investigations and prosecuting alleged violations of CFP Board's Code of Ethics and Standards of Conduct
* 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
* Performs other duties as assigned

Background/Skills/Abilities Preferred

* J.D. (Juris Doctorate) degree from an accredited law school
* Active status licensed attorney in any state; eligible to be admitted in the District of Columbia
* Minimum of 10 years of experience as an enforcement attorney presenting cases in administrative hearings or similar substantive legal practice experience
* Financial services regulatory background
* Advanced working knowledge of broker-dealer, investment adviser and insurance regulations
* 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

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 nearly 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).

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

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

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