The Chartered Institute for Securities & Investment (The CISI)
CISI Disciplinary Panel Chairs
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We are pleased to announce opportunities to join the Disciplinary Panels at the Chartered Institute for Securities & Investment (CISI) as a Chair.
If you are passionate about professionalism, maintaining high standards and making a positive contribution to the financial services profession, we encourage you to consider applying for this important role.
About the Disciplinary Panels
CISI’s Disciplinary Panels play an important role in upholding the standards, ethics and integrity expected of CISI members.
As a Disciplinary Panel Chair, you will be responsible for leading Disciplinary Hearings fairly, objectively and independently, ensuring that proceedings are conducted in accordance with the CISI Membership Regulations and relevant policies and procedures.
The Panels consider allegations of misconduct and breaches of the standards and requirements applicable to CISI members. Through their work, Chairs help ensure that disciplinary matters are considered with integrity, impartiality and due process, and that decisions are fair, proportionate and consistent.
The Chair plays a key role in ensuring that Hearings are conducted effectively, that all parties are given a fair opportunity to be heard, and that the Panel reaches clear, well-reasoned and properly documented decisions.
What does the Chair role involve?
As a Disciplinary Panel Chair, you will:
- Lead Disciplinary Hearings in a fair, impartial, orderly and effective manner.
- Review and consider evidence and representations presented prior to and during Disciplinary Hearings.
- Ensure all parties are given a fair opportunity to be heard and ask questions where necessary to clarify the facts and issues.
- Facilitate balanced and constructive discussion between Panel members.
- Ensure that the Panel properly considers the submissions, relevant representations and applicable CISI Membership Regulations.
- Lead the Panel in determining whether allegations are substantiated and, where appropriate, determining proportionate sanctions.
- Ensure that decisions are fair, consistent, evidence-based and well-reasoned.
- Ensure that the Panel’s decisions and reasoning are appropriately documented.
- Manage any procedural issues that arise during a Hearing and ensure that proceedings remain focused and fair.
- Maintain independence and impartiality throughout the process.
- Maintain confidentiality and comply with all relevant requirements.
- Declare and appropriately manage any actual, potential or perceived conflicts of interest.
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Why become a CISI Disciplinary Panel Chair?
Becoming a CISI Disciplinary Panel Chair provides an opportunity to:
- Help uphold high professional and ethical standards across the financial services profession.
- Use your experience, judgement and leadership skills to support fair, transparent and consistent decision-making.
- Make a meaningful contribution to maintaining confidence in the professionalism and integrity of the financial services sector.
- Work alongside experienced professionals and contribute to the standards and reputation of CISI.
- Apply your expertise in an independent and impartial environment.
Who should apply?
We welcome applications from individuals who can demonstrate:
- Experience making fair, balanced and evidence-based decisions.
- Strong leadership, facilitation, analytical, listening and communication skills.
- The ability to consider different perspectives and remain impartial and independent.
- Confidence in leading discussions and reaching decisions in a collegiate Panel environment.
- An understanding of rules, policies, professional standards and due process.
- A strong commitment to fairness, integrity and confidentiality.
- The ability to make clear, proportionate and well-reasoned decisions.
- The ability to manage hearings effectively and ensure that proceedings are conducted fairly and appropriately.
- The confidence to challenge constructively and ensure that all relevant matters are properly considered.
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Experience of chairing or participating in Disciplinary Panels, professional regulation, complaints, appeals, governance or other formal decision-making processes would be desirable.
Experience in financial services, legal, HR, compliance, regulation or professional standards would also be welcomed.
Applicants should be able to demonstrate the independence, authority and judgement required to lead a Disciplinary Panel, while ensuring that all proceedings are fair, proportionate and consistent with the applicable framework.
This is a voluntary role. We anticipate that Chairs will participate in approximately two/three Disciplinary Hearings per year, together with one annual training day. Reasonable expenses associated with undertaking the role will be covered in accordance with CISI policy. All Hearings and training will be conducted remotely unless otherwise stated.
How to apply
If you are ready to make a difference and would like to contribute your leadership, judgement and experience to upholding the highest standards of professionalism within financial services, please submit your expression of interest to the CISI Standards Team at standards@cisi.org by 30 October 2026. Please include details of your relevant experience, including any experience of chairing Hearings, Panels or other formal decision-making processes, and explain why you are interested in becoming a CISI Disciplinary Panel Chair.
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