Case Administrator, Office of Hearing Officers

FINRA•Washington, DC

22h•$96,600 - $172,800•Hybrid

About The Position

The Case Administrator supports the operations and functions of FINRA’s Office of Hearing Officers. The position applies analytical skills to assist Hearing Officers, parties, and counsel in adjudicatory proceedings. It manages assigned case dockets and official records, supports case preparation and document drafting, monitors deadlines, and helps ensure proceedings and decisions comply with applicable procedures. The role also serves as a liaison between parties and Hearing Officers, helps resolve procedural issues, and may attend pre-hearing conferences and hearings. It contributes to reports and special projects and collaborates in person and virtually in support of FINRA’s investor-protection and market-integrity mission. Additional responsibilities may be assigned. This is a hybrid role with defined in-person presence requirements. Occasional travel and extended hours as needed may be required. Salary ranges vary by location, from $83,900 to $180,400. Employees may be eligible for a discretionary bonus; non-exempt employees are also eligible for overtime pay in accordance with applicable law.

Requirements

Bachelor’s degree, paralegal certificate, and five years of paralegal experience, or an equivalent combination of education and experience.
Strong writing and research skills.
Experience with legal research databases and cite-checking.
Strong planning and organizational skills.
Excellent interpersonal and written communication skills.
Proficiency with Microsoft software applications.

Nice To Haves

Litigation or securities-related experience is preferred.
Knowledge of SEC and FINRA Rules is helpful.

Responsibilities

Manage assigned case dockets, including official proceeding records and the Office of Hearing Officers’ electronic docket.
Receive, compile, and organize information to prepare documents, including orders and decisions.
Monitor case deadlines and assist Hearing Officers with docket management, including coverage when they are away at hearings; consult the Chief Hearing Officer and Deputy Chief Hearing Officer as needed to determine whether action is required.
Act as liaison between parties and Hearing Officers to facilitate resolution of pre-hearing motions and requests, and provide information about the Office’s policies, procedures, programs, objectives, and operations.
Anticipate and resolve issues that may arise during a case.
Prepare notices, orders, correspondence, and other documents for Hearing Officers.
Proofread and cite-check draft decisions, orders, and other documents; verify facts against case records; ensure final decisions and orders are in proper form and properly served; and circulate final decisions to appropriate FINRA departments.
Review pleadings for accuracy and completeness and contact attorneys or parties when pleadings or other documents do not comply with the FINRA Code of Procedure or Office procedures.
Attend pre-hearing conferences and hearings at the Hearing Officers’ discretion to assist with hearing conduct and evidence management.
Compile statistical information and reports as required.
Participate in special projects at the request of the manager, Chief Hearing Officer, or Deputy Chief Hearing Officer.
Demonstrate FINRA’s values and collaborate in person and virtually in furtherance of FINRA’s mission of investor protection and market integrity.
Perform additional responsibilities as assigned.

Benefits

Comprehensive health, dental, and vision insurance.
Basic life, accidental death and dismemberment, supplemental life, spouse/domestic partner and dependent life, and spouse/domestic partner and dependent accidental death and dismemberment insurance.
Short- and long-term disability, long-term care, business travel accident, and legal insurance.
Immediate participation and vesting in a 401(k) plan with company match.
Eligibility to participate in an additional FINRA-funded retirement contribution.
Tuition reimbursement.
Commuter benefits.
Adoption assistance, backup family care, surrogacy benefits, employee assistance, and wellness programs.
Paid time off starting at 15 days and increasing with service up to 25 days, five personal days, and nine sick days, subject to applicable law and first-year proration.
Two volunteer service days based on a full-time schedule.
Military, jury duty, bereavement, voting and election official, care of a family member, childbirth, and parental leave, subject to stated eligibility conditions where applicable.
Nine paid holidays for full-time employees.
Employees may be eligible for a discretionary bonus.
Non-exempt employees are eligible for overtime pay in accordance with federal, state, or local law.