Head, Professional Conduct, Enforcement

Are you a seasoned professional with a passion for ethics, leadership, and the investment management industry? CFA Institute is searching for a Head of Professional Conduct to lead our global Professional Conduct Program (PCP), reinforcing our mission to uphold ethical standards.

Based in Charlottesville, this senior role directly supports our organizational focus on ethics and integrity in the financial industry, and reports to the Managing Director, Chief Legal and Compliance Officer. Flexible work arrangements are available.

About the Role

As the Head of Professional Conduct, you will lead a dedicated team to oversee all aspects of our global Professional Conduct Program. You’ll play a vital role in disciplinary processes for both industry and exam-related conduct, helping shape our strategic direction on ethics. This is a high-impact, visible role, engaging with stakeholders across CFA Institute, member societies, financial regulators, and global professional associations to strengthen our ethical foundation.

What You’ll Do:

• Shape the Vision: Develop and evolve the strategic vision for the Professional Conduct Program, adapting strategies to changing conditions and aligning them with CFA Institute’s broader mission.

• Lead Disciplinary Oversight: Oversee and guide investigations into potential ethical violations within the industry and exam programs, presenting findings to the Disciplinary Review Committee (DRC).

• Drive Ethical Standards: Champion CFA Institute’s Code of Ethics and Standards of Professional Conduct, ensuring adherence and effective enforcement.

• Engage Stakeholders: Communicate the value and importance of the Professional Conduct Program to societies, members, and candidates worldwide.

• Build Strong Relationships: Work closely with volunteer committees, such as the Disciplinary Review Committee and Standards of Practice Council, to align efforts and maintain a robust ethical framework.

• Lead a Global Team: Mentor, coach, and develop a diverse team of global professionals dedicated to advancing ethics in finance.

• Inform Leadership: Track trends, generate reports, and regularly update CFA Institute leadership and the Board of Governors on key findings and disciplinary matters.

Who You Are:

• Experienced and Educated: You hold a Juris Doctor and ideally a CFA charter, with significant experience in investment management, financial and/or regulatory compliance, or related fields(FINRA, SEC, white-collar enforcement ).

• Global Leader: Proven success in managing and leading diverse, global teams.

• Change Driver: Skilled at leading organizational change and implementing process improvements.

• Skilled Communicator: Able to engage audiences at all levels, with strong presentation and speaking skills.

• Organized and Professional: Highly organized with an exceptional ability to manage confidential information with professionalism.

• Multilingual Advantage: Fluency in English is essential; additional language skills are a plus.

At CFA Institute, we are committed to transparency and equity in our hiring process. In compliance with wage transparency laws in many of the jurisdictions in which we recruit, we provide the following information regarding compensation for this position:

Expected salary Range: $210k-$240k per year

Other benefits include eligibility for annual incentives, 12% 401(k)/pension employer contribution, and competitive medical benefits.

All salary ranges are subject to adjustment based on experience, education, and other factors relevant to the position. CFA Institute is an equal opportunity employer and encourages applications from all qualified individuals.