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.
Essential Job Functions:
- 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.
Other Responsibilities:
Education/Experience Requirements:
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.
Working Conditions:
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, Maximum Salary $146,600
IL/PA: Minimum Salary $90,100, Maximum Salary $161,300
MA/MD/VA/Washington, DC: Minimum Salary $94,200, Maximum Salary $168,600
NY/NJ: Minimum Salary $94,200, Maximum Salary $176,000
#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.
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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 240.386.4865 or by email atEmployeeRelations@finra.org.Please note that this process is exclusively for inquiries regarding application accommodations.
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 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 240.386.4865 or by email at EmployeeRelations@finra.org. Please note that this process is exclusively for inquiries regarding application accommodations.
All qualified applicants will receive consideration for employment without regard to age, citizenship status, color, disability, marital status, national origin, race, religion, sex, veteran status or any other classification protected by federal, state, or local laws.
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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