Under the direction and guidance of the Director, CE + Experience, the Senior Analyst, CE Quality & QA serves as the operational lead for CFP Board’s Continuing Education (CE) quality, compliance and integrity framework. This role will assist in the design and implementation of a comprehensive, risk-based oversight model that ensures consistency, credibility, and adherence to CFP Board standards, while strengthening trust across the CE ecosystem.

Additionally, this role identifies systemic risks, informs CE policy evolution, and enhances the experience and effectiveness of CE Sponsors through clear guidance, proactive communication, and continuous improvement.

This position requires cross-functional collaboration to uphold CE program integrity, drive policy alignment, and deliver measurable impact. The Senior Analyst serves as the central point of accountability for CE quality and compliance, ensuring consistency and effectiveness across all related initiatives. This role operates as a highly collaborative partner across Certification, Education, Legal, and Technology functions, ensuring alignment of CE standards, processes, and systems with CFP Board’s broader certification strategy.

Key Responsibilities:

CE Quality & Compliance Strategy

• Ensure alignment of CE quality and compliance framework with organizational priorities and industry standards.
• Identify systemic risks and gaps across CE program design, delivery, and reporting; recommend solutions to strengthen program integrity.
• Translate audit findings and stakeholder feedback into actionable insights to inform CE policy, standards, and operational improvements.
• Partner cross-functionally to align CE compliance practices with broader content and certification strategies.

Compliance Program Management & Audit Execution

• Implement and lead a formal CE audit program within a broader quality and compliance framework, ensuring a risk-based, consistent, and defensible approach.
• Establish and maintain audit protocols, including sample sizes, frequency, documentation standards, and escalation procedures.
• Manage standardized audit tools, templates, and sponsor communication workflows.
• Oversee the full lifecycle of the CE compliance program, from planning and implementation through monitoring and continuous improvement.
• Review and refine audit methodologies to balance rigor, efficiency, and the CE Sponsor experience.

Process and Policy Design

• Documentation audit, workflows, and quality benchmarks to support consistent and defensible outcomes.
• Collaborate with Legal, Education, and Technology teams to integrate compliance processes into systems and policies.
• Maintain a centralized, trackable compliance history to support trend analysis, reporting, and enforcement decisions.
• Evaluate existing CE policies to improve clarity, consistency, and alignment with organizational priorities.
• Provide data-driven recommendations to leadership on CE policy enhancements based on audit outcomes, industry trends, and stakeholder feedback.

Compliance Monitoring & Quality Assurance

• Ensure CE programs adhere to NCCA accreditation standards and CFP Board policies and guidelines.
• Maintain full audit coverage of non-registered, self-reported CE activities.
• Track audit results, issue findings, and recommend corrective actions or enforcement as appropriate.
• Identify recurring compliance issues and trends; recommend updates to policies, guidance and quality standards.
• Implement measurable quality assurance standards to ensure consistency, objectivity and a clear, predictable Sponsor experience.

Advisory Group Management

• Manage a peer-based CE Advisory Group to support content quality review and re-review of complex or high-impact programs under the leadership of the Director, Continuing Education and Experience.
• Facilitate ongoing engagement to ensure diverse professional perspectives inform audit decisions and quality thresholds.
• Integrate Advisory Group insights into CE and experience quality standards, audit criteria, and policy interpretation.

Stakeholder Engagement & Support

• Lead training and guidance for CE Sponsors on compliance expectations, audit readiness, and best practices.
• Serve as a subject matter expert on CE policy interpretation, audit findings, and trends.
• Act as the primary contact for audit-related inquiries from internal and external stakeholders.
• Develop proactive communication and education strategies to improve Sponsor understanding and compliance.
• Enhance the CE Sponsor experience through greater clarity, transparency, and consistency in expectations and processes.
• Collaborate with internal teams across Professional Practice, Education, Legal, and Technology to ensure consistent interpretation, application, and execution of CE standards and policies.
• Establish feedback loops to identify Sponsors’ pain points and inform continuous improvement efforts.

Reporting & Continuous Program Improvement

• Deliver regular reporting on audit outcomes, trends, and policy impact for internal leadership and accreditation bodies.
• Define and track key performance indicators (KPIs) related to CE quality, compliance, and Sponsor performance.
• Use data and insights to inform strategic decisions, improve CE program effectiveness, and support leadership reporting.
• Monitor industry trends and best practices to ensure CFP Board’s approach remains proactive, effective, and credible.
• Lead initiatives to refine audit methodologies, address emerging risks, and strengthen overall program performance.
• Synthesize insights across functions to inform enterprise-level decisions related to CE quality, policy, and program design.

Qualifications & Experience

• Bachelor’s degree in education, public policy, business administration, compliance, or a related field.
• 4+ years of progressive experience in compliance auditing, program evaluation, or continuing education operations, preferably within a credentialing or regulated environment.
• Demonstrated experience designing and implementing compliance systems, processes, or oversight functions.
• Proven ability to manage compliance programs, including audit processes and quality standards.
• Strong understanding of continuing education, adult learning principles, and accreditation standards (e.g., NCCA or ANSI).
• Excellent project management, organizational, and analytical skills with the ability to manage multiple priorities independently.
• Effective written and verbal communication skills with experience engaging diverse stakeholders.
• Ability to operate effectively in a cross-functional environment and contribute to long-term strategy and outcomes.

Preferred

• Background and experience working in and with associations
• Experience managing advisory groups or peer review processes
• Familiarity with CFP® certification and CE requirements
• Experience with compliance tracking systems, data analysis tools, or LMS platforms
• Experience within a certification or licensing organization

About CFP Board

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.

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