Senior Counsel, Enforcement

General FunctionUnder limited supervision, 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 FunctionsEfficiently and effectively investigates, researches, and analyzes alleged violations of CFP Board’s Code of Ethics and Standards of ConductProvides guidance to Senior Analyst, Enforcement, Counsel, Enforcement and other 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 informationInterviews respondents and witnessesOrganizes and analyzes evidenceResearches applicable statutes, rules and regulations relevant to an investigationConducts 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 Assistant Director of EnforcementActs 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 complaintsRecommends procedures and policies that will assist in the efficiency of the departmentProvides 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 assignedBackground/Skills/Abilities PreferredJ.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 experienceFinancial services regulatory backgroundAdvanced 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 applicationsThis 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.

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