Case Specialist, Dispute Resolution

This position performs a variety of duties, including applying analytical skills to research, review, analyze, and process legal documents such as pleadings filed in FINRA's arbitration forum. This is administrative professional work in which incumbents are applying their skills and attaining new skills; are able to handle routine matters independently and complex matters under supervision; are able to prioritize their work with independence; and are working under general supervision.

Essential Job Functions:

• Responsible for case intake, including preparing case for service by analyzing initial pleadings to ensure jurisdiction and conformity with requirements. Processes initial claims, which may include drafting deficiency notices for deficient claims or reservice of claim if original service is unsuccessful.
• Analyzes and processes subsequent pleadings, including answers, counterclaims, cross-claims, and third-party claims.
• Monitors case related reports to ensure compliance with deadlines and expectations. Responsible for meeting all required service level agreements for assignments.
• Maintains motions calendar, solicits responses as needed, and prepares documentation for timely submission to arbitrators.
• Makes recommendations for administrative motions and administratively processes substantive issues for decision by the panel, with assistance.
• Assesses applicable fees at various stages of the case and makes written recommendations on fee waiver requests.
• Reviews challenges to potential arbitrators, solicits responses, and makes recommendations on the decision to manager.
• Ensures that all FINRA fees are assessed and billed according to the Code of Arbitration Procedure.
• Conducts financial review of settled/withdrawn cases and closes cases within expected timeframes.
• Processes final financial review of settled/withdrawn cases and hearing awards and closes cases within expected timeframes.
• Reviews incoming submissions and takes appropriate action with assistance.
• Determines proper composition of panel, generates list of arbitrators, reviews arbitrator information for conflicts, and eliminates arbitrators with conflicts, with assistance.
• Replaces arbitrators on lists due to arbitrator unavailability and processes new or additional lists due to changes to panel composition.
• Responsible for utilizing the ODR Portal and internal electronic docket management systems for processing assignments.
• Provides excellent customer service, including responding to inquiries, orally or in writing, on FINRA arbitration policies and procedures, service of pleadings, status of cases, assessment of fees, and the ODR Portal.
• Maintains electronic and physical file and enters all case-related information in the case processing system in accordance with established protocols.
• Effectively prioritizes work with management oversight.
• Demonstration of FINRA’s values.
• Collaboration, both in-person and virtually, in furtherance of FINRA’s mission of investor protection and market integrity.

Other Responsibilities:

• Additional duties as required by management, including Presentations/Public Speaking.

Education/Experience 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 required.

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.

For work that is performed in Los Angeles 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 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

#LI-Hybrid

To be considered for this position, please submit an application. Applications are accepted on an ongoing basis.

The information provided above has been designed to indicate the general nature and level of work of the position. It is not a comprehensive inventory of all duties, responsibilities and qualifications required.

Please note: If the “Apply Now” button on a job board posting does not take you directly to the FINRA Careers site, enter into your browser to reach our site directly.

Employees may be eligible for a discretionary bonus in addition to base pay. Non-exempt employees are also eligible for overtime pay in accordance with federal, state, or local law. As part of its dedication to employee wellness, FINRA provides comprehensive health, dental and vision insurance. Additional insurance includes basic life, accidental death and dismemberment, supplemental life, spouse/domestic partner and dependent life, and spouse/domestic partner and dependent accidental death and dismemberment, short- and long-term disability, long-term care, business travel accident, disability and legal. FINRA offers immediate participation and vesting in a 401(k) plan with company match and eligibility for participation in an additional FINRA-funded retirement contribution, tuition reimbursement, commuter benefits, and other benefits that support employee wellness, such as adoption assistance, backup family care, surrogacy benefits, employee assistance, and wellness programs.

Time Off and Paid Leave*

FINRA encourages its employees to focus on their health and wellness in many ways, including through a generous time-off program of 15 days of paid time off, 5 personal days and 9 sick days, unless otherwise required by law (all pro-rated in the first year). Additionally, we are proud to support our communities by providing two volunteer service days (based on full-time schedule). Other paid leave includes military leave, jury duty leave, bereavement leave, voting and election official leave for federal, state or local primary and general elections, care of a family member leave (available after 90 days of employment); and childbirth and parental leave (available after 90 days of employment). Full-time employees receive nine paid holidays.

*Based on full-time schedule

Important Information

FINRA’s Code of Conduct imposes restrictions on employees’ investments and requires financial disclosures that are uniquely related to our role as a securities regulator. FINRA employees are required to disclose to FINRA all brokerage accounts that they maintain, and those in which they control trading or have a financial interest (including any trust account of which they are a trustee or beneficiary and all accounts of a spouse, domestic partner or minor child who lives with the employee) and to authorize their broker-dealers to provide FINRA with duplicate statements for all of those accounts. All of those accounts are subject to the Code’s investment and securities account restrictions, and new employees must comply with those investment restrictions—including disposing of any security issued by a company on FINRA’s Prohibited Company List or obtaining a written waiver from their Executive Vice President—by the date they begin employment with FINRA. Employees may only maintain securities accounts that must be disclosed to FINRA at one or more securities firms that provide an electronic feed (e-feed) of data to FINRA, and must move securities accounts from other securities firms to a firm that provides an e-feed within three months of beginning employment.

You can read more about these restrictions here.

As standard practice, employees must also execute FINRA’s Employee Confidentiality and Invention Assignment Agreement without qualification or modification and comply with the company’s policy on nepotism.

Search Firm Representatives

Please be advised that FINRA is not seeking assistance or accepting unsolicited resumes from search firms for this employment opportunity. Regardless of past practice, a valid written agreement and task order must be in place before any resumes are submitted to FINRA. All resumes submitted by search firms to any employee at FINRA without a valid written agreement and task order in place will be deemed the sole property of FINRA and no fee will be paid in the event that person is hired by FINRA.

FINRA is an Equal Opportunity Employer

All qualified applicants receive consideration for employment without regard to any legally protected category, including race, color, age, national origin, ethnicity, religion, disability, genetic information, military or veteran status, sex, or any other status or classification protected by state or local law.

FINRA strives to make our career site accessible to all users. If you need a disability-related accommodation for completing the application process, please contact FINRA’s Employee Relations team at View phone number on aiapply.co or by email at View email address on aiapply.co . Please note that this process is exclusively for inquiries regarding accommodations in the application process.

FINRA abides by the requirements of 41 CFR 60-741.5(a). This regulation prohibits discrimination against qualified individuals on the basis of disability and requires affirmative action by covered prime contractors and subcontractors to employ and advance in employment qualified individuals with disabilities.

FINRA abides by the requirements of 41 CFR 60-300.5(a). This regulation prohibits discrimination against qualified protected veterans and requires affirmative action by covered prime contractors and subcontractors to employ and advance in employment qualified protected veterans.

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