Sr. Analyst, Enforcement

Written By Ingrid Nordskog

CFP Board

Location: Washington, DC

General Functions: Under limited supervision, investigates alleged instances of misconduct under CFP Board’s Code of Ethics and Standards of Conduct (“Code and Standards”), where appropriate, assists with the prosecution of the misconduct before CFP Board’s Disciplinary and Ethics Commission.

Essential Functions:

  • In consultation with a Senior Counsel of Enforcement, efficiently and effectively investigates, researches, and analyzes alleged violations of CFP Board’s Code and Standards.

  • Prepares requests for documents and information; communicates with respondents and third parties;

  • Interviews respondents and witnesses

  • Organizes and analyzes evidence

  • Prepares drafts complaints; researches applicable precedent; and recommends charges and sanctions

  • Assists Enforcement Counsel with preparation of on-the-record Oral Examinations of respondents and third parties

  • Organizes hearing documents for presentation to the Disciplinary Ethics Commission

  • Assists with enforcement projects and other initiatives as assigned

  • Performs other duties as assigned

Background/Skills/Abilities

  • Bachelor’s degree or equivalent related experience. Prefer 3-5 years in financial services, or an advanced degree or certification in the fields of investigations, compliance, securities, finance, financial planning, accounting or related fields

  • Advanced working knowledge of the Investment Advisers Act of 1940, broker-dealer, investment adviser and insurance regulations and/or industry desired

  • Self-starter with strong motivation, proven results 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

  • Ability to effectively communicate with individuals under distress

  • Ability to interpret rules, regulations, regulatory filings and statutes.

  • Proficiency with full suite of Microsoft Office applications

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

To apply, submit your resume and one-page letter summarizing your interest, qualifications, and salary expectations.

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 Center for Financial Planning addresses diversity and workforce development challenges and conducts and publishes research that adds to the financial planning profession’s body of knowledge. CFP Board of Standards 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 95,000 people in the U.S.

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

Ingrid Nordskog
Previous

Contracts and Compliance Specialist
Next

Compliance Officer