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Case Specialist, Dispute Resolution

Company: Financial Industry Regulatory Authority, Inc.
Location: Boca Raton
Posted on: May 3, 2021

Job Description:

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 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  • Conducts financial review of settled/withdrawn cases and closes cases within expected timeframes.
  • Processes final financial review of settled/withdrawn cases and hearing awards and closes cases within expected timeframes.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.
  • 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.

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.
  • 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.
  • 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.

Working Conditions:

  • Work is normally performed during a 40 hour work week in an office environment.
  • 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 application.

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.

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 accommodation help line at 240.386.4865. Please note that this number is exclusively for inquiries regarding application accommodations.

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.

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 and Affirmative Action Employer

All qualified applicants will receive consideration for employment without regard to age, citizenship status, color, disability, marital status, national origin, race, religion, sex, sexual orientation, gender identity, veteran status or any other classification protected by federal state or local laws as appropriate, or upon the protected status of the person's relatives, friends or associates.

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.

2020 FINRA. All rights reserved. FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc.

Keywords: Financial Industry Regulatory Authority, Inc., Boca Raton , Case Specialist, Dispute Resolution, Other , Boca Raton, Florida

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