Enforcement Analyst

Cfp Bd Of Standard Ctr For Financial Planning; Washington (District of Columbia); Hybrid; USD 54,000 - 62,000; Full time

Job summary

CFP Board is seeking an Enforcement Analyst to support the detection team and maintain the database of regulatory actions. The role involves processing investigations, handling background checks for CFP Board credentials, volunteers, and board members.

Based in Washington, DC, the position offers a hybrid schedule and a competitive salary. Strong organizational abilities and confidentiality are essential, along with proficient MS Office skills.

Qualifications

• Minimum 3 years administrative or program support experience.
• Outstanding organizational skills and attention to detail.
• Solid written and verbal communication skills.
• Ability to safeguard confidentiality of sensitive data.

Responsibilities

• Execute detection functions and support regulatory enforcement actions.
• Maintain database of regulatory enforcement actions.
• Assist in developing and implementing new detection processes.
• Process new matters and manage case files and databases.
• Coordinate correspondence and responses for investigations.
• Identify cases for summary proceedings and monitor post-sanction obligations.

Skills

Administrative support

Organizational skills

Written & verbal communication

Confidentiality handling

Tools

MS Office

Database experience

Job description

If you are unable to complete this application due to a disability, contact this employer to ask for an accommodation or an alternative application process.

Enforcement Analyst

Prosecution Regular Full-Time Washington, D.C., Washington, DC, US

Salary Range: $54,000.00 To $62,000.00 Annually

Essential Functions

• Works with Detection team to execute all detection functions of the organization, including background checks for candidates for CFP® Certification, CFP® professionals, and Professionals Eligible for Reinstatement; assists with conducting background checks for CFP Board volunteers and Board members.
• Maintain database of regulatory enforcement actions.
• Assist in the development and implementation of new detection processes.
• Commences the investigative process with the initial processing of new matters, including setting up electronic and hard-copy case files and entering information into databases.
• Manage early-stage case-related correspondence, including Notices of Investigation, requests for extensions, and initial responses.
• Conduct triage analysis for all investigation cases, closing cases that meet certain criteria and referring the remaining cases to the Investigations Team.
• Identify cases appropriate for summary proceedings (Interim Suspension, Administrative Order, Single Bankruptcy complaint) and shepherd through such proceedings.
• Monitor persons subject to sanctions for compliance with post-sanction obligations, coordinating with other departments to do so.
• Serve as a point of contact for detection and disclosure-related issues for other departments in the organization.
• Performs other duties as assigned.

Background/Skills/Abilities Preferred

• A minimum of 3 years administrative or program support, or commensurate educational experience.
• Outstanding organizational skills and attention to detail.
• Ability to prioritize between competing assignments and quickly meet critical deadlines.
• Solid written and verbal communication skills.
• Proficient knowledge of MS Office; database experience is a plus.
• Ability to safeguard confidentiality of sensitive data.
• Ability to work within approved guidelines and protocols.
• Capacity to thrive in a demanding, fast-paced, legal environment.

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 PLANNER TM 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 107,000 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 salary range for this position is from $54,000.00 to $62,000.00, which reflects the organization's good faith and reasonable estimate of possible compensation at the time of posting. Actual pay will depend on several factors such as the candidate's experience and qualifications. In addition to base salary, total compensation includes incentive compensation for which employees are eligible based on completion of individual goals.