Enforcement Counsel

at  CFA Institute

As the global association of investment professionals, CFA Institute sets the standard for professional excellence and credentials. We champion ethical behavior in investment markets and serve as the leading source of learning and research for the investment industry. We believe in fostering an environment where investors’ interests come first, markets function at their best, and economies grow. Spanning nearly 200,000 charterholders worldwide across 160 markets, CFA Institute has 10 offices and 160 local societies. Find us at
CFA Institute
or follow us on
LinkedIn
and
X at @CFAInstitute
.

At CFA Institute, we care about our employees’ mental, physical, social, and financial well-being. That’s why we are committed to providing a comprehensive, competitive benefits package that offers flexibility to make choices that meet their needs:

• Health & Well-being benefits that are amongst the best in the industry with full comprehensive Medical, Dental, and Vision for employees and their family members
• Comprehensive Leave and Time Off plans
• A focus on Financial Well-being means that we stack our retirement benefits against the most competitive standards.
• Flexible work arrangements
• Wellness, Education, and Employee Assistance Benefits

Job Description Summary:
Job Description:
The Enforcement Counsel is responsible for managing and presenting investigative findings related to violations of the CFA Institute’s Code of Ethics, Standards of Professional Conduct, and Exam policies. This role requires a combination of effective communication skills, attention to detail, and a deep understanding of the investment profession and securities regulation.
This role will be based in Charlottesville, Virgina and will report into the Head of Professional Conduct.

The requirements of this role include:

• Coordinate with CFA Institute Professional Conduct investigators during investigations to be apprised of potential violations of the Code of Ethics and Standards of Professional Conduct, and Exam policies, to assess evidence and burdens of proof to determine whether a case is ready to/should be pursued or should be further investigated and ensure collaboration with the investigators to facilitate a case through to resolution.
• Review and / or prepare necessary documents for hearings including Statements of Allegations, Statements of Charges, pre-hearing briefs, exhibits, and other documents.
• Present investigative findings, evidence, testimony, and sanction recommendations to disciplinary hearing panels orally and in writing in a reliable and persuasive manner. Thoroughness, accuracy, and attention to detail are essential. Strong oral and written communication skills are extremely important.
• Manage a large number of investigations and disciplinary proceedings at various stages of completion.
• Interact with members, candidates, attorneys, witnesses, the Disciplinary Review Committee (DRC), and others in an effective, considerate, and highly professional manner and with special sensitivity to the practices and differences in various countries and cultures.
• Demonstrate and use knowledge of and/or experience in the investment profession and / or securities regulation. This includes the ability to carefully evaluate the various requirements of the securities laws, rules, and regulations, different regulatory bodies including those in different countries around the world.
• Lead, motivate, and develop the Paralegal and Misuse Paralegal and oversee the Misuse Program.

The skills and experience required for this role include:

• Bachelor’s Degree and Juris Doctor.
• Proven experience as an attorney in financial industry and / or securities regulation.
• Proven experience of first chair litigation.
• Demonstrated ability to exercise particular care and sensitivity to the highly sensitive, often contentious, and confidential nature of professional conduct matters.
• Knowledge and appreciation of cultural differences and impact on cases.
• Demonstrated experience of working in a collaborative environment while equally comfortable working independently.
• Demonstrated ability to effectively cope with change and shift direction as needed.
• Proficient with Office productivity tools including Microsoft Office Suite, Adobe, and Adobe Premier Pro.
• Demonstrated elevated level of written and verbal communication skills.
• Demonstrated experience in organizational skills and prioritizing.
• Experience working in the investment industry and/or CFA Charterholder is a plus.
• Comfort learning and using available technology to maximize efficiency and effectiveness with evidence gathering and analysis.
• Fluency in English required, knowledge of additional languages is a plus.

Working and travel requirements:

• Full-time employment with the requirement to be in the office for a minimum of three days per week.
• Occasional global travel (no more than 5%)

This opportunity is open to internal and external candidates. CFA Institute is committed to the professional development of its employees; first/full consideration will be given to internal candidates.
If you feel this opportunity could be the next step in your career, we encourage you to click “Apply” and complete our three-minute application.
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We are an Equal Opportunity Employer. CFA Institute prohibits both discrimination and harassment with regard to all identifying characteristics: any individual employee, group of employees, or prospective employee on the basis of race, color, national origin, citizenship or immigration status, religion, creed or belief, age, marital or partnership status, marital or family status, care giver status, pregnancy and maternity, sexual and other reproductive health decisions, physical abilities/qualities, disability, sexual orientation, gender, gender identity or expression, predisposing genetic characteristic, military or veteran status, status as a victim or witness of domestic violence or sex offense or stalking, unemployment status, infectious disease carrier status, migrant worker status, educational background, socio-economic status, geographic location and culture or any other basis protected by applicable law. This policy impacts all aspects of employment, including but not limited to, recruitment, hiring, compensation, training, development, promotion, demotion, layoff, recall, furlough, transfer, leave of absence, and dismissal. This is a global policy that applies to all CFA Institute employees, regardless of location.
If, due to a disability or current medical condition, you need an accommodation or assistance to complete a job application, you can request one at any stage of the recruitment process. Please send an email to
humanresources@cfainstitute.org
noting the accommodations or assistance you are requesting. Please do not include any medical or health information in this email. We will review your request and contact you to discuss the possible options and arrangements. We will try our best to provide you with an accommodation or assistance that meets your needs and respects your preferences.
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The requirements of this role include:

• Coordinate with CFA Institute Professional Conduct investigators during investigations to be apprised of potential violations of the Code of Ethics and Standards of Professional Conduct, and Exam policies, to assess evidence and burdens of proof to determine whether a case is ready to/should be pursued or should be further investigated and ensure collaboration with the investigators to facilitate a case through to resolution.
• Review and / or prepare necessary documents for hearings including Statements of Allegations, Statements of Charges, pre-hearing briefs, exhibits, and other documents.
• Present investigative findings, evidence, testimony, and sanction recommendations to disciplinary hearing panels orally and in writing in a reliable and persuasive manner. Thoroughness, accuracy, and attention to detail are essential. Strong oral and written communication skills are extremely important.
• Manage a large number of investigations and disciplinary proceedings at various stages of completion.
• Interact with members, candidates, attorneys, witnesses, the Disciplinary Review Committee (DRC), and others in an effective, considerate, and highly professional manner and with special sensitivity to the practices and differences in various countries and cultures.
• Demonstrate and use knowledge of and/or experience in the investment profession and / or securities regulation. This includes the ability to carefully evaluate the various requirements of the securities laws, rules, and regulations, different regulatory bodies including those in different countries around the world.
• Lead, motivate, and develop the Paralegal and Misuse Paralegal and oversee the Misuse Program

The skills and experience required for this role include:

• Bachelor’s Degree and Juris Doctor.
• Proven experience as an attorney in financial industry and / or securities regulation.
• Proven experience of first chair litigation.
• Demonstrated ability to exercise particular care and sensitivity to the highly sensitive, often contentious, and confidential nature of professional conduct matters.
• Knowledge and appreciation of cultural differences and impact on cases.
• Demonstrated experience of working in a collaborative environment while equally comfortable working independently.
• Demonstrated ability to effectively cope with change and shift direction as needed.
• Proficient with Office productivity tools including Microsoft Office Suite, Adobe, and Adobe Premier Pro.
• Demonstrated elevated level of written and verbal communication skills.
• Demonstrated experience in organizational skills and prioritizing.
• Experience working in the investment industry and/or CFA Charterholder is a plus.
• Comfort learning and using available technology to maximize efficiency and effectiveness with evidence gathering and analysis.
• Fluency in English required, knowledge of additional languages is a plus