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Managing Director, Adjudication
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- Reporting to the General Counsel, the Managing Director of Adjudication leads the adjudication department and the adjudicatory process in compliance with CFP Board’s Procedural Rules, Code of Ethics and Standards of Conduct, Fitness Standards, and Sanction Guidelines.
- The Managing Director will act as lead legal advisor to the Disciplinary and Ethics Commission (DEC), serve a decision maker with respect to motions that the parties file in adversarial proceedings, and manage the adjudication process, including all hearings.
- The Managing Director also will supervise a team of lawyers and paralegals in fulfilling organizational goals.
- Beyond these demanding responsibilities, the Managing Director of Adjudication also will be charged with a critical forward-looking responsibility and identifying and implementing a comprehensive evaluation of the adjudication process that meets CFP Board’s increasingly complex needs and demands in an age of constant regulatory developments.
- Provides as-needed assistance to the General Counsel and Assistant General Counsel – Standards in supporting the Standards Resource Commission in developing guidance resources interpreting the Code and Standards.
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