Reporting to the Managing Director – Adjudication, the Associate General Counsel helps to ensure the fair adjudication of alleged violations of CFP Board’s Code of Ethics and Standards of Conduct and of petitions seeking CFP® certification.
Essential Functions:
- Serves as counsel to CFP Board’s Disciplinary and Ethics Commission (“Commission”), a peer-review body of CFP® professionals and members of the public that evaluates alleged violations of the Code and Standards and candidate fitness for CFP® certification.
- Impartially presides over the disciplinary hearing and review processes to ensure adherence to CFP Board’s Procedural Rules.
- Provides advice and legal analyses to the Commission, or to the Managing Director – Adjudication, before, during, and after evidentiary hearings and reviews.
- Reviews and addresses all motions, case filings, and other correspondence in well-considered rulings applying the Procedural Rules.
- Oversees compilation of the written evidentiary record for disciplinary proceedings before the Commission.
- Prepares draft final orders for the Commission’s consideration.
- Drafts and issues select administrative and other disciplinary orders as Counsel to the Commission.
- Drafts and reviews press releases, decision summaries, and Case Histories for publication.
- Prepares resources about the adjudication process and advises internally on case outcomes in support of efforts to develop guidance on the Code and Standards.
- Recommends policies and procedures that promote the efficiency and effectiveness of the adjudication process.
- Provides legal research and writing on issues pertaining to federal and state regulation of broker-dealers, registered investment advisers, insurance agents, bankers, and other financial professionals.
- Supports the Managing Director - Adjudication and the General Counsel on initiatives, projects and other duties, as assigned.
Background/Skills/Abilities Preferred:
- Licensed attorney, active status, and in good standing, in a jurisdiction eligible for District of Columbia admission reciprocity.
- Minimum of seven (7) years legal practice experience with a financial services regulator, law firm, or in-house legal or compliance department (preferably in the financial services field)
- Strong legal research and analytical skills, and ability to “think on your feet.”
- Exemplary written and oral communications skills, including the ability to succinctly convey issues and proposed resolutions to experienced professionals, executives and boards.
- Demonstrated commitment to collaboration within a department and across organization.
- Outstanding attention to detail, multi-tasking, time management, and organizational skills with ability to quickly prioritize and meet critical deadlines.
- Proficiency with Microsoft Office.
- Trial, arbitration, or administrative hearing experience is preferred.
- Experience as a judicial law clerk is preferred.
- Experience with procedural and evidentiary rules is preferred.
- A working knowledge of broker-dealer, investment adviser, insurance, and banking regulations (and regulators) is preferred.
- Experience working with volunteer boards or commissions is preferred.
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 $148,000 to $175,000. In addition to base salary, total compensation includes incentive compensation for which employees are eligible based on completion of individual goals.