Head, Professional Conduct Program
Job Summary
The Head, Professional Conduct Group, leads the global Professional Conduct Program (PCP) of CFA Institute. This position serves an important role in supporting the organization’s strategic focus on ethics. This position is responsible for overseeing all aspects of the Professional Conduct Program including disciplinary processes for exam and industry conduct, managing the Professional Conduct Program staff, liaising with the Disciplinary Review Committee (DRC) on issues of disciplinary policy, collaborating with all divisions at CFA Institute, and aligning the Professional Conduct activities with CFA Institute strategy. The position may be headquartered in any CFA Institute office and is primarily supported by the Managing Director and General Counsel of the Legal and Professional Conduct Division.
Through its activities, the PCP upholds the Bylaws, the CFA Institute Code of Ethics and Standards of Professional Conduct, and exam rules and regulations in order to protect the integrity of CFA Institute membership, designations, and examination programs. The PCP monitors and investigates potential professional conduct violations of its members and candidates, works with volunteer members of the DRC to conduct disciplinary proceedings, and imposes disciplinary sanctions against members and candidates.
Essential Functions
Strategic Leadership
- Support the organization’s strategic focus on ethics through effective enforcement of the Code of Ethics and Standards of Professional Conduct and of educational program rules and policies
- Further the vision and strategy for PCP, identify needed resources and continually evolve the strategy and tactics to account for changing conditions
- Develop and oversee communication with societies, membership, candidates, and other stakeholders on the value of the Professional Conduct Program and the importance of adherence to the Code and Standards
- Develop and sustain relationships with relevant volunteer committees, including the Disciplinary Review Committee and Standards of Practice Council
- Develop strategies to coordinate activities with global financial regulators, member societies, and global professional member associations to strengthen the disciplinary process
- Collaborate with Legal Services and with the Standards of Financial Market Integrity division to further the PCP vision and strategy
- Monitor disciplinary trends and provide reports and data on a regular basis to CFA Institute leadership and the Board of Governors
Division Management
- Support and lead a global, professional staff
- Provide professional development and coaching to PCP staff
- Oversee the use of outside advisors to investigate and develop cases
- Review and recommend structures and resources needed to achieve the PCP vision
- Develop new decision-making processes aligned with the PCP vision and leadership model
Enforcement of Code and Standards and Exam Rules and Regulations
- Oversee and support staff investigations and conclusions on individual allegations of violations of the Code and Standards for industry matters
- Oversee determinations on individual allegations of violations of educational program rules and policies (including the Chartered Financial Analyst, Certificate in Investment Performance Measurement, and Claritas programs)
- Collaborate with Legal Services on the use and support of the Interim Designated Officer role
- Review, build, and monitor disciplinary processes, expertise, and staff in order to effectively and appropriately manage the industry and exam conduct caseload
- Closely collaborate with colleagues in Standards and Financial Market Integrity, Legal Services and Exam Administration and Security divisions to ensure disciplinary processes align with CFA Institute strategy and legal obligations
- Oversee presentation of individual cases by the Professional Conduct Program staff to the Disciplinary Review Committee on industry and exam conduct cases
- Oversee and develop efforts to source global cases and reinforce the importance of member reporting
Qualifications
Education/Experience
- Bachelor’s degree or an equivalent combination of education and experience
- Minimum 10-15 years’ experience in investment management, financial services, or related fields
- CFA charter preferred
- Experience in a compliance, regulatory, or legal environment is preferred
- Must demonstrate outstanding stewardship and relationship building/management skills to expand the mission of CFA Institute
- Must demonstrate outstanding judgment and mature business skills
- Knowledge and experience of financial markets and issues
- Willingness to ask questions and implement continuous process improvements
- Ability to create new and unique ideas; an entrepreneurial spirit a plus
- Comfortable with and proven ability to drive organizational change
- Global cultural orientation and working experience
- Management of global teams
- Excellent consulting, problem solving, and analytical skills
- Excellent interpersonal skills including a professional and diplomatic demeanor
- Excellent communication skills including written, verbal, listening, and presentation
- Ability to handle confidential and sensitive information with a high degree of professionalism
- Very high level of organizational and time management skills
- Monitoring and implementing best practices regarding professional disciplinary programs
- Relationship building and sharing best practices with professional associations and self-regulatory organizations
- Strong presentation and speaking skills
- Fluency in English required, knowledge of additional languages would be useful
- Proficient using standard office software such as Word, PowerPoint, Excel, Outlook
Physical Requirements
- Energy to put in the hours of work necessary to achieve goals while maintaining a positive attitude
Travel Requirements
- Some global travel may be required; approximately 20 percent of the time
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