Sr. Counsel, Enforcement

Under limited supervision, the Senior Counsel of Enforcement investigates alleged instances of misconduct under CFP Board's Code of Ethics and Standards of Conduct and, where appropriate, prosecutes misconduct before CFP Board's Disciplinary and Ethics Commission. Essential Functions Efficiently and effectively investigates, researches, and analyzes alleged violations of CFP Board's Code of Ethics and Standards of ConductProvides guidance to Analyst, Senior Analyst, Counsel and other Enforcement department personnel on the handling of investigations and complaintsIdentifies and expedites targeted classes of cases, such as investigations involving possible breaches of fiduciary duty, financial planning services or customer harmPrepares requests for documents and information Interviews respondents and witnessesOrganizes and analyzes evidenceResearches applicable statutes, rules and regulations relevant to an investigation Conducts on-the-record Oral Examinations of respondents and third-party witnessesDetermines whether there is probable cause to believe that grounds for sanction existPrepares draft complaints; researches applicable precedent; and recommends charges and sanctions to the Director, InvestigationsActs as an advocate on behalf of CFP Board in hearings before CFP Board's Disciplinary and Ethics CommissionCollaborates with the Director, Investigations as to the handling of investigations, and complaintsOversees the investigative work of a Principal Investigator or Senior Principal InvestigatorRecommends procedures and policies that will assist in the efficiency of the departmentProvides legal advice to CFP Board in the context of conducting investigations and prosecuting alleged violations of CFP Board's Code of Ethics and Standards of ConductProvides legal research and writing support for issues pertaining to federal and state regulation of broker-dealers, registered investment advisers, insurance agents and other financial professionalsPerforms other duties as assigned Background / Skills / Abilities Preferred J.D. (Juris Doctorate) degree from an accredited law schoolActive status licensed attorney in any state; eligible to be admitted in the District of ColumbiaMinimum of 10 years of experience as an enforcement attorney presenting cases in administrative hearings or similar substantive legal practice experienceCFP® certification a plusFinancial services regulatory background Advanced working knowledge of broker-dealer, investment adviser and insurance regulationsSelf-starter with strong motivation, proven results orientation and consistent track recordOutstanding attention to detail and organizational skillsAbility to quickly prioritize and meet critical deadlinesExcellent written and verbal communication skillsAbility to prepare and present facts in a logical, clear and concise mannerStrong customer service focus and ability to effectively communicate with individuals under distressProficiency with full suite of Microsoft Office applications 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 over 100,000 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 $184,000 to $220,000. In addition to base salary, total compensation includes incentive compensation for which employees are eligible based on completion of individual goals.