Enforcement Analyst

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

1d•$43,000 - $51,500•Hybrid

About The Position

Works with Detection team to execute all detection functions of the organization, including background checks for candidates for CFP® Certification, CFP® professionals, and Professionals Eligible for Reinstatement; assists with conducting background checks for CFP Board volunteers and Board members. Maintain database of regulatory enforcement actions. Assist in the development and implementation of new detection processes. Commences the investigative process with the initial processing of new matters, including setting up electronic and hard-copy case files and entering information into databases. Manage early-stage case-related correspondence, including Notices of Investigation, requests for extensions, and initial responses. Conduct triage analysis for all investigation cases, closing cases that meet certain criteria and referring the remaining cases to the Investigations Team. Identify cases appropriate for summary proceedings (Interim Suspension, Administrative Order, Single Bankruptcy complaint) and shepherd through such proceedings. Monitor persons subject to sanctions for compliance with post-sanction obligations, coordinating with other departments to do so. Serve as a point of contact for detection and disclosure-related issues for other departments in the organization. Performs other duties as assigned. 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 107,000 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. CFP Board is an Equal Opportunity Employer. The applicable starting annual base salary is anticipated to be in the range of $43,000.00 to $51,500.00. In addition to base salary, total compensation includes incentive compensation for which employees are eligible based on completion of individual goals.

Requirements

A minimum of 3yearsadministrative or program support, or commensurate educational experience.
Outstanding organizational skills and attention to detail.
Ability to prioritize between competing assignments and quickly meet critical deadlines.
Solid written and verbal communication skills.
Ability to safeguard confidentiality of sensitive data.
Ability to work within approved guidelines and protocols.
Capacity to thrive in a demanding, fast-paced, legal environment.

Nice To Haves

Positive, flexible, “can-do” attitude.
Proficient knowledge of MS Office; database experience is a plus.

Responsibilities

Works with Detection team to execute all detection functions of the organization, including background checks for candidates for CFP® Certification, CFP® professionals, and Professionals Eligible for Reinstatement; assists with conducting background checks for CFP Board volunteers and Board members.
Maintain database of regulatory enforcement actions.
Assist in the development and implementation of new detection processes.
Commences the investigative process with the initial processing of new matters, including setting up electronic and hard-copy case files and entering information into databases.
Manage early-stage case-related correspondence, including Notices of Investigation, requests for extensions, and initial responses.
Conduct triage analysis for all investigation cases, closing cases that meet certain criteria and referring the remaining cases to the Investigations Team.
Identify cases appropriate for summary proceedings (Interim Suspension, Administrative Order, Single Bankruptcy complaint) and shepherd through such proceedings.
Monitor persons subject to sanctions for compliance with post-sanction obligations, coordinating with other departments to do so.
Serve as a point of contact for detection and disclosure-related issues for other departments in the organization.
Performs other duties as assigned.