Regulatory Compliance Analyst

2 weeks ago

Washington, Washington, D.C., United States CFP BD OF STANDARD CTR FOR FINANCIAL PLANNING Full time
Job Overview

The Regulatory Compliance Analyst plays a crucial role in investigating reported violations of the CFP Board's Code of Ethics and Standards of Conduct. This position involves collaboration with Senior Counsel, Enforcement to address and prosecute misconduct effectively.

Key Responsibilities

  • Conduct thorough investigations and analyses of alleged breaches of the CFP Board's Code and Standards, including evaluating claims, gathering and examining evidence, and researching relevant precedents.
  • Prepare and submit requests for documentation and information; engage in communication with involved parties.
  • Conduct interviews with respondents and witnesses to gather pertinent information.
  • Organize and assess evidence to support investigations.
  • Assist Senior Counsel, Enforcement in preparing for formal Oral Examinations of involved parties.
  • Draft complaints, research applicable legal precedents, and propose charges and sanctions to Senior Counsel, Enforcement.
  • Support the organization of hearing materials for presentation to the Disciplinary Ethics Commission.
  • Contribute to hearing preparation efforts.
  • Recommend enhancements to procedures and policies to improve departmental efficiency.
  • Assist with various enforcement projects and initiatives as assigned.
  • Perform additional duties as required.

Preferred Qualifications

  • Bachelor's degree or equivalent relevant experience.
  • Familiarity with regulations governing broker-dealers, investment advisers, and insurance.
  • Self-motivated individual with a strong results-oriented approach.
  • Exceptional attention to detail and organizational capabilities.
  • Ability to prioritize tasks effectively and meet critical deadlines.
  • Strong written and verbal communication skills.
  • Capacity to present information clearly and logically.
  • Customer service-oriented with the ability to communicate effectively with distressed individuals.
  • Proficiency in Microsoft Office applications.

About CFP Board

CFP Board serves as the leading professional organization for personal financial planners in the United States. It comprises two affiliated entities dedicated to enhancing the financial planning profession for the benefit of the public. The CFP Board of Standards establishes and maintains standards for financial planning and oversees the prestigious CERTIFIED FINANCIAL PLANNERTM certification, recognized as the benchmark for financial planners.

CFP certification is held by over 100,000 professionals across the nation. The CFP Board Center for Financial Planning addresses challenges related to diversity and workforce development while conducting research that enriches the financial planning profession's knowledge base.

This position is part of the organization focused on advancing the financial planning profession.

CFP Board values diverse experiences and perspectives, striving to cultivate a committed, skilled, and collaborative workforce.

CFP Board is an Equal Opportunity Employer. The anticipated starting annual base salary for this position ranges from $64,000.00 to $74,000.00, with additional incentive compensation based on individual performance.

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