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 is seeking an Administrator, Compliance, who will provide administrative assistance to the investigative staff in examining potential violations of CFP Board’s Standards of Professional Conduct.
Provides general administrative support including gathering relevant documents through online research; preparing correspondence; scanning, filing, and organizing documents; and completing other administrative tasks as requested
Conducts 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
Assists investigative staff with the initial processing of new matters, including setting up electronic and hard-copy case files and entering information into databases
Drafts and revises case-related correspondence, including Notices of Investigation, Complaint letters, Notices of Hearing and Dismissal letters.
Assists investigative staff with the preparation of hearing-related materials for matters set for review by the Disciplinary and Ethics Commission (DEC)
Facilitates and supports the DEC hearings; prepares materials for mailing; establishes and oversees online server accounts for individuals receiving documents electronically and provides technical and logistical support and troubleshooting during the hearings
Assists investigative staff with closing completed matters, including scanning of hard-copy documents for electronic storage, organizing the case files, and following other case-closing procedures
Administers all website changes as reported by investigative staff and collaborates with Online Communications Manager in publishing new and revised content
Assists with the recruitment of volunteers
Performs other duties as assigned
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
Positive, flexible, “can-do” attitude
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
Interest in pursuing a paralegal certification or law degree desirable
CFP Board believes that diversity of experience and perspective are strengths and seeks to continue to grow a highly committed, skilled and collaborative staff.
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.