Case Administrator, Dispute Resolution

Overview

This position performs a variety of duties, including applying advanced analytical skills to provide interpretations regarding rules and regulations, and managing a docket of arbitration cases. This is professional work in which the incumbents are applying their skills and attaining new skills; are able to handle routine matters independently and complex matters under limited supervision; are able to prioritize their work independently;

and able to work under limited supervision generally.

• Manages assigned docket of cases, with responsibility to ensure that all case activities proceed timely and accurately. Utilizes the ODR Portal and internal docket management programs.
• Analyzes assigned cases for accuracy and completeness, and anticipates and resolves issues that may arise during the course of the case.
• Acts as liaison between parties and arbitrators to facilitate resolution of pre-hearing motions and requests.
• Ensures that motions for the panel are addressed in a timely manner and monitors case-related reports to ensure compliance with deadlines and expectations.
• Analyzes, summarizes and makes recommendations on administrative motions for decision by the Director, with limited assistance.
• Advises panel as to procedural matters and provides guidance on FINRA's arbitration rules and procedures, with limited assistance.
• Answers parties’ pre and post award inquiries orally and in writing.
• Provides excellent customer service, and responds to customer complaints orally and in writing.
• Attends hearings when necessary to observe arbitrators and fairness of the proceedings.
• Drafts and serves awards in a timely manner, disposing of all issues submitted for resolution with limited assistance.
• Closes cases by award in a timely manner and ensures that they are closed with financial accuracy.
• Evaluates arbitrator performance.
• Monitors post-award litigation.
• Initiates disciplinary referrals.
• Demonstration of FINRA’s values.
• Collaboration, both in-person and virtually, in furtherance of FINRA’s mission of investor protection and market integrity.

• Involved with special projects as required by management, including presentations / public speaking.

• Bachelor’s degree and 4 years of related experience or equivalent combination of education and experience; JD strongly preferred.
• Expertise using a desktop computer with the full suite of electronic office applications and other office equipment.
• Strong knowledge of electronic docket management programs and web-based Portal systems a plus.
• Excellent customer service, interpersonal, and written and verbal communication skills required.
• Must be highly organized and able to perform multiple tasks efficiently and accurately, in a fast-paced environment and under tight time constraints.
• Must function effectively in a team environment and work with others to meet deadlines.
• Strong work ethic, positive attitude, and professional demeanor.
• Strong communication, time management, organizational and attention to detail skills.
• Candidate must demonstrate discretion and sound judgment, due to the confidential nature of the work.
• Strong leadership skills required.

• Hybrid work environment, with defined in-person presence requirements. Occasional travel is required.
• Extended hours are frequently required.
• Limited opportunity to work from home may be available, depending on business needs.

For work that is performed in Los Angeles and San Francisco CA, CO, FL, TX, IL, PA, MA, MD, VA, Washington, DC, NY and NJ, please refer to the chart below for the salary range for the corresponding location. FINRA complies with all state and local pay transparency laws and regulations requiring the disclosure of salary ranges for the position. In addition to location, actual compensation is based on various factors, including but not limited to, the candidate’s skill set, level of experience, education, and market considerations.

Los Angeles, CA:
Minimum Salary $84,504, Maximum Salary $126,756

San Francisco, CA:
Minimum Salary $88,178, Maximum Salary $132,266

CO/FL/TX:
Minimum Salary $81,900,…