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
re-service 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
- 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- Conducts financial review of settled/withdrawn cases and closes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- Processes final financial review of settled/withdrawn cases and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
- Determines proper composition of panel, generates list of
arbitrators, reviews arbitrator information for conflicts, and
eliminates arbitrators with conflicts, with assistance.
- Responsible for utilizing the ODR Portal and internal
electronic docket management systems for processing
- 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.
- Additional duties as required by management, including
- 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.
- 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
- Effective communication, time management, and organizational
skills, and ability to prioritize work assignments and duties.
- Candidate must demonstrate discretion and sound judgment, due
to the confidential nature of the work.
- Work is normally performed during a 40 hour work week in an
- Occasional travel may be required.
- Some overtime may be required.
- Limited opportunity to work from home may be available,
depending on business needs.
To be considered for this position, please submit an
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
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In addition to a competitive salary, comprehensive health and
welfare benefits, and incentive compensation, FINRA offers
immediate participation and vesting in a 401(k) plan with company
match. You will also be eligible for participation in an additional
FINRA-funded retirement contribution, our tuition reimbursement
program and many other benefits. If you would like to contribute to
our important mission and work collegially in a professional
organization that values intelligence, integrity and initiative,
consider a career with FINRA.
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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
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partner or minor child who lives with the employee) and to
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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
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
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