Case Administrator, Dispute Resolution

FINRA • Los Angeles, CA

2d • $81,900 - $176,000 • Hybrid

About The Position

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: Involved with special projects as required by management, including presentations / public speaking.

Requirements

• Bachelor’s degree and 4 years 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.
• 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.

Nice To Haves

• JD strongly preferred.
• Strong knowledge of electronic docket management programs and web-based Portal systems a plus.

Responsibilities

• 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.
• Involved with special projects as required by management, including presentations / public speaking.

Benefits

• 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.

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level
• Number of Employees: 1,001-5,000 employees