Enforcement Investigator & Case Manager

CFP Board - Certified Financial Planner Board of Standards; Washington (District of Columbia); Hybrid; USD 54,000 - 62,000; Full time

Job summary

CFP Board in Washington, DC, seeks an Enforcement Analyst to support the Detection team with background checks for CFP Board certification and professionals. The role maintains an enforcement actions database and helps implement new detection processes.

The position initiates case files, manages correspondence, triages investigations, and coordinates with other departments in a fast-paced legal setting. Hybrid schedule in DC area.

Qualifications

• Minimum of 3 years administrative or program support experience.
• Outstanding organizational skills and attention to detail.
• Ability to prioritize between competing assignments and 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.

Responsibilities

• Works with Detection team to execute detection functions, including background checks for CFP Certification_candidates and professionals.
• Maintain database of regulatory enforcement actions.
• Assist in development and implementation of new detection processes.
• Initiates investigative process with initial processing of new matters and data entry.
• Manage case-related correspondence and notices; handle extensions and responses.
• Conduct triage analysis for investigation cases and route to Investigations Team.
• Identify cases for summary proceedings and shepherd through processes.
• Monitor sanctions-affected individuals for compliance; coordinate with departments.
• Serve as a contact for detection and disclosure-related issues.
• Performs other duties as assigned.

Skills

Administrative support

Organizational skills

Deadline management

Written and verbal communication

MS Office proficiency

Confidentiality

Guidelines adherence

Thrives in fast-paced legal env

Tools

Database experience

Job description

CFP Board in Washington, DC, seeks an Enforcement Analyst to support the Detection team with background checks for CFP Board certification and professionals. The role maintains an enforcement actions database and helps implement new detection processes.

The position initiates case files, manages correspondence, triages investigations, and coordinates with other departments in a fast-paced legal setting. Hybrid schedule in DC area.