The Certified Financial Planner Board of Standards (“CFP Board”) - headquartered in Washington, D.C.-is the certifying body for financial planning professionals. It is a non-profit organization that fosters professional standards in personal financial planning through its setting and enforcement of the education, examination, experience, ethics, and other requirements for the CFP certification.
CFP Board seeks a highly motivated team player to serve as Senior Compliance Analyst. This position investigates allegations of misconduct by CFP® professionals and those seeking to obtain CFP® certification under the guidelines of CFP Board’s Standards of Professional Conduct.
In consultation with Compliance Counsel, efficiently and effectively investigates, researches, and analyzes alleged violations of CFP Board’s Standards of Professional Conduct
Reviews allegations and determines whether to open an investigation
Drafts requests for documents and information; communicates with respondents and third parties;
Interviews respondents and witnesses; organizes and analyzes evidence
Researches applicable statutes, rules and regulations; determines whether there is probable cause to believe that grounds for discipline exist
Drafts complaints; researches applicable precedent; and recommends charges and sanctions.
Provides guidance to other department personnel on the handling of investigations and complaints, including with respect to the same issues that arise in the Compliance Analyst’s assigned cases
Responds to telephone calls requesting guidance with respect to compliance with and applicability of the Standards of Professional Conduct, as requested by the General Counsel
Assists Compliance Counsel in organizing hearing documents (“DEC Books”) for presentation to the Disciplinary Ethics Commission
Assists Compliance Counsel with hearing preparations, as requested
Assists Compliance Counsel with background checks for CFP Board volunteers and Board members, as requested by the General Counsel
Assists with enforcement projects and other initiatives as assigned by the General Counsel.
Performs other duties as assigned
CFP Board believes that diversity of experience and perspective are strengths and seeks to continue to grow a highly committed, skilled and collaborative staff.
Bachelor’s degree or equivalent related experience. Prefer an advance degree or certification in the fields of investigations, securities, finance, economics, accounting or related fields
Working knowledge of broker-dealer, investment adviser and insurance regulations and/or industry desired
Self-starter with strong motivation, proven results orientation 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
Strong customer service focus and ability to effectively communicate with individuals under distress
Proficiency with full suite of Microsoft Office applications
About CFP Board
The mission of Certified Financial Planner Board of Standards, Inc. is to benefit the public by granting the CFP® certification and upholding it as the recognized standard of excellence for competent and ethical personal financial planning. The Board of Directors, in furthering CFP Board’s mission, acts on behalf of the public, CFP® professionals and other stakeholders. CFP Board owns the certification marks CFP®, Certified Financial Planner™, CFP® (with plaque design) and CFP® (with flame design) in the U.S., which it awards to individuals who successfully complete CFP Board’s initial and ongoing certification requirements. CFP Board currently authorizes more than 76,000 individuals to use these marks in the U.S. For more information about CFP Board, visit www.CFP.net.