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Enforcement Analyst
Under general supervision, the Enforcement Analyst investigates alleged instances of misconduct under CFP Board’s Code of Ethics and Standards of Conduct (“Code and Standards”) and, where appropriate, assists Senior Counsel, Enforcement with prosecuting misconduct before CFP Board’s Disciplinary and Ethics Commission. Essential Functions In consultation with Senior Counsel, Enforcement, efficiently and effectively investigates, researches, and analyzes alleged violations of CFP Board’s Code and Standards, including but not limited to reviewing allegations; organizing and analyzing evidence; researching applicable precedent; and recommending charges and sanctions Prepares requests for
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