Enforcement Analyst

CFP Board•Washington, DC

4d•$54,000 - $62,000•Hybrid

About The Position

The Enforcement Analyst works with the Detection team to carry out 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 role maintains a database of regulatory enforcement actions and supports the development and implementation of new detection processes. The position initiates investigations by processing new matters, creating electronic and hard-copy case files, and entering case information into databases. It manages early-stage case correspondence, conducts triage analysis, identifies cases appropriate for summary proceedings and shepherds them through those proceedings, and monitors compliance with post-sanction obligations in coordination with other departments. The analyst also serves as a contact for detection and disclosure-related issues across the organization and performs other duties as assigned. This position supports programs within CFP Board of Standards, the 501(c)(6) organization. It is based in CFP Board’s Washington, D.C. office and follows a hybrid schedule that may be changed at any time. CFP Board emphasizes diversity of experience and perspective and is an Equal Opportunity Employer. The salary range is $54,000 to $62,000, with eligible employees also able to 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.

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 to commence investigations, 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 of 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 persons 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.