Case Specialist, Dispute Resolution

This position performs a variety of administrative professional duties, applying analytical skills to research, review, analyze, and process legal documents such as pleadings filed in FINRA's arbitration forum. Incumbents handle routine matters independently and complex matters under supervision, prioritize work with independence, and work under general supervision.

Responsibilities

• Case intake, including preparing cases for service by analyzing initial pleadings to ensure jurisdiction and conformity with requirements.
• Process initial claims, including drafting deficiency notices for deficient claims or reservice of claims if original service is unsuccessful.
• Analyze and process subsequent pleadings, including answers, counterclaims, cross-claims, and third-party claims.
• Monitor case-related reports to ensure compliance with deadlines and expectations.
• Meet all required service level agreements for assignments.
• Maintain motions calendar, solicit responses as needed, and prepare documentation for timely submission to arbitrators.
• Make recommendations for administrative motions and administratively process substantive issues for decision by the panel, with assistance.
• Assess applicable fees at various stages of the case and make written recommendations on fee waiver requests.
• Review challenges to potential arbitrators, solicit responses, and make recommendations on the decision to manager.
• Ensure all FINRA fees are assessed and billed according to the Code of Arbitration Procedure.
• Conduct financial review of settled/withdrawn cases and close cases within expected timeframes.
• Process final financial review of settled/withdrawn cases and hearing awards and close cases within expected timeframes.
• Review incoming submissions and take appropriate action with assistance.
• Determine proper composition of panel, generate list of arbitrators, review arbitrator information for conflicts, and eliminate arbitrators with conflicts, with assistance.
• Replace arbitrators on lists due to arbitrator unavailability and process new or additional lists due to changes to panel composition.
• Utilize the ODR Portal and internal electronic docket management systems for processing assignments.
• Provide excellent customer service, including responding to inquiries on FINRA arbitration policies and procedures, service of pleadings, status of cases, assessment of fees, and the ODR Portal.
• Maintain electronic and physical files and enter all case-related information in the case processing system in accordance with established protocols.
• Effectively prioritize work with management oversight.
• Demonstrate FINRA’s values and collaborate, both in-person and virtually, in furtherance of FINRA’s mission of investor protection and market integrity.
• Perform additional duties as required by management, including presentations and public speaking.

Requirements

• Bachelor’s degree and 1 year of related experience or equivalent combination of education and experience.
• Expertise using a desktop computer with the full suite of electronic office applications and other office equipment.
• Familiarity with electronic docket management programs and web-based Portal systems (a plus).
• Excellent customer service skills, interpersonal skills, and written and verbal communication skills.

Working Conditions

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

Pay

For work that is performed in the following locations, the salary range is as follows:

• Los Angeles, CA: Minimum Hourly Rate $36.34, Maximum Hourly Rate $54.50
• CO/FL/TX: Minimum Hourly Rate $30.22, Maximum Hourly Rate $53.57
• IL/PA: Minimum Hourly Rate $33.42, Maximum Hourly Rate $58.90
• MA/MD/VA/Washington, DC: Minimum Hourly Rate $34.75, Maximum Hourly Rate $61.50
• NY/NJ: Minimum Hourly Rate $34.75, Maximum Hourly Rate $64.27

Actual compensation is based on various factors, including but not limited to, the candidate’s skill set, level of experience, education, and market considerations.

Benefits

• Discretionary bonus in addition to base pay for eligible employees.
• Overtime pay for non-exempt employees in accordance with federal, state, or local law.
• Comprehensive health, dental, and vision insurance.
• Additional insurance options, including:
  • Basic life, accidental death and dismemberment.
  • Supplemental life, spouse/domestic partner and dependent life.
  • Spouse/domestic partner and dependent accidental death and dismemberment.
  • Short- and long-term disability, long-term care, business travel accident, and legal insurance.
• Immediate participation and vesting in a 401(k) plan with company match.
• Eligibility for participation in an additional FINRA-funded retirement contribution.
• Tuition reimbursement, commuter benefits, and other wellness benefits such as adoption assistance, backup family care, surrogacy benefits, employee assistance, and wellness programs.
• Time Off and Paid Leave:
  • 15 days of paid time off, 5 personal days, and 9 sick days (all pro-rated in the first year).
  • 2 volunteer service days (based on full-time schedule).
  • Military leave, jury duty leave, bereavement leave, voting and election official leave.
  • Care of a family member leave and childbirth and parental leave (available after 90 days of employment).
  • Nine paid holidays (based on full-time schedule).

FINRA’s Code of Conduct imposes restrictions on employees’ investments and requires financial disclosures related to our role as a securities regulator.