Enforcement Analyst

CFP BD OF STANDARD CTR FOR FINANCIAL PLANNING•Washington, DC

5d•Hybrid

About The Position

The Enforcement Analyst works with the Detection team to carry out organizational detection functions, including background checks for candidates for CFP® Certification, CFP® professionals, and Professionals Eligible for Reinstatement, and assists with background checks for CFP Board volunteers and Board members. The position maintains a database of regulatory enforcement actions and assists in developing and implementing new detection processes. The role begins the investigative process by processing new matters, establishing electronic and hard-copy case files, and entering information into databases. It manages early-stage case correspondence, conducts triage analysis, identifies cases suited to summary proceedings and shepherds those proceedings, and monitors compliance with post-sanction obligations in coordination with other departments. The Enforcement Analyst also serves as a contact for detection- and disclosure-related issues across the organization and performs other duties as assigned. This position works on programs within CFP Board of Standards (501(c)(6)). It is based in CFP Board’s Washington, D.C. office and follows a hybrid schedule, which may be changed at any time. The stated salary range is $54,000 to $62,000. Eligible employees may also receive incentive compensation based on completion of individual goals.

Requirements

A minimum of 3 years of administrative or program support experience, or commensurate educational experience.
Outstanding organizational skills and attention to detail.
Ability to prioritize competing assignments and meet critical deadlines quickly.
Solid written and verbal communication skills.
Positive, flexible, “can-do” attitude.
Proficient knowledge of MS Office.
Ability to safeguard confidential and sensitive data.
Ability to work within approved guidelines and protocols.
Capacity to thrive in a demanding, fast-paced legal environment.

Nice To Haves

Database experience is a plus.

Responsibilities

Work with the Detection team to execute organizational detection functions, including background checks for candidates for CFP® Certification, CFP® professionals, and Professionals Eligible for Reinstatement.
Assist with background checks for CFP Board volunteers and Board members.
Maintain a database of regulatory enforcement actions.
Assist in developing and implementing new detection processes.
Process new matters at the start of the investigative process, including setting up electronic and hard-copy case files and entering information into databases.
Manage early-stage case-related correspondence, including Notices of Investigation, extension requests, and initial responses.
Conduct triage analysis for investigation cases, closing cases that meet specified criteria and referring remaining cases to the Investigations Team.
Identify cases appropriate for summary proceedings, including Interim Suspension, Administrative Order, and Single Bankruptcy complaint, and shepherd them through those proceedings.
Monitor people subject to sanctions for compliance with post-sanction obligations, coordinating with other departments.
Serve as a point of contact for detection- and disclosure-related issues for other departments.
Perform other duties as assigned.