Assistant General Counsel, Standards

Under limited supervision, the Assistant General Counsel of Standards leads the development of standards and guidance materials concerning CFP Board’s Code of Ethics and Standards of Conduct; also provides ad hoc assistance with the adjudication of alleged violations of the Code and Standards and contributes to the development of comment letters in support of our public policy positions

Essential Functions 

• Works with and leads CFP Board’s Standards Resource Commission in developing guidance materials interpreting CFP Board’s Code of Ethics and Standards of Conduct, including published materials and responses to individual requests for guidance submitted via email
• Serves as a public spokesperson promoting CFP Board’s ethics guidance materials
• Assists the General Counsel with the development of standards, including CFP Board’s Code of Ethics and Standards of Conduct, Sanctions Guidelines, Fitness Standards, and Procedural Rules
• Works with councils, commissions, and working groups charged with the responsibility of assisting with the development of, and feedback concerning, CFP Board’s standards and guidance materials
• Develops extensive background memoranda, agendas, minutes, and other materials for council and commission meetings
• Provides occasional assistance with the adjudication of alleged violations of the Code and Standards, including issuing relevant notices and materials, developing advice to hearing panels and to the Disciplinary and Ethics Commission (DEC), and drafting press releases and Case Histories (ACH) 
• Leads the development of ethics CE materials, in collaboration with CFP Board’s Continuing Education department, and in alignment with the Code and Standards
• Presents CFP Board’s ethics CE content to CFP® professionals
• Provides legal research and writing support for issues pertaining to federal and state regulation of broker-dealers, registered investment advisers, insurance agents and other financial professionals    
• Contributes to the development of comment letters to regulators, SROs, and other relevant bodies that support CFP Board’s public policy positions
• Recommends procedures and policies that will improve upon the efficiency of the department
• Performs other duties as assigned

Background/Skills/Abilities Preferred

• J.D. (Juris Doctorate) degree from an accredited law school
• Active status licensed attorney in any state or District of Columbia; eligible to be admitted in D.C.
• Eight years of legal practice experience at a financial services regulatory, large law firm, or in-house legal or compliance department, preferably in the financial services field, with demonstrated legal research, analytical, critical thinking, writing and communication skills. 
• A working knowledge of broker-dealer, investment adviser and insurance regulations preferred.
• Exemplary written and oral communications skills, including the ability to summarize issues and the means to address them
• Demonstrated commitment to collaboration with volunteers and across organizational functions.
• Outstanding attention to detail, multi-tasking, time management, and organizational skills with ability to quickly prioritize and meet critical deadlines.
• Strong customer service focus and ability to effectively communicate
• Self-starter with strong motivation and sense of ownership 
• Ability to quickly prioritize and meet critical and sometimes competing deadlines
• Ability to exercise discretion in handling confidential and sensitive matters
• Proficiency with Microsoft Office

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® 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 106,000 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)(3) and 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 applicable starting annual base salary is anticipated to be in the range of $184,000.00 to $225,000.00.  In addition to base salary, total compensation includes incentive compensation for which employees are eligible based on completion of individual goals.