Case Administrator, Office of Hearing Officers

FINRA • Washington, DC

2d • Hybrid

About The Position

This position performs a variety of specific duties in support of the Office of Hearing Officers’ operations and functions, including applying analytical skills to assist the Hearing Officers and the parties and their counsel in adjudicatory proceedings.

Requirements

• Bachelor’s degree, paralegal certificate, and five (5) years’ paralegal experience, or equivalent combination of education and experience.
• Strong writing and research skills, as well as experience with legal research databases and cite-checking.
• Strong planning and organization skills, as well as excellent interpersonal and written communication skills required.
• Proficiency with Microsoft software applications.
• 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.
• 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.

Nice To Haves

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

Responsibilities

• Manages docket of assigned cases, including maintenance of the official records of those proceedings and the Office of Hearing Officer’s electronic docket.
• Receives, compiles, and organizes information for the preparation of various documents, including orders and decisions.
• Monitors case deadlines and assists the Hearing Officers with effectively managing their case dockets, including monitoring their cases when they are away at hearings and consulting with the Chief Hearing Officer and Deputy Chief Hearing Officer as necessary to determine if action must be taken.
• Acts as liaison between parties and Hearing Officers to facilitate resolution of pre-hearing motions and requests, serving as a knowledgeable resource for information regarding the Office of Hearing Officers’ policies, procedures, programs, objectives, and operational functions.
• Anticipates and resolves issues that may arise during the course of the case.
• Prepares a variety of documents for the Hearing Officers, including notices, orders, and correspondence.
• Proofreads and cite checks draft decisions, orders, and other documents prepared by Hearing Officers; verifies facts from case records; ensures that final decisions and orders are in proper form and are properly served on the parties; circulates final decisions to appropriate FINRA departments.
• Examines pleadings to ensure their accuracy and completeness; contacts attorneys or parties if submitted pleadings and other documents do not comply with FINRA’s Code of Procedure or the Office of Hearing Officers’ procedures.
• Attends pre-hearing conferences and hearings at the discretion of the Hearing Officers to assist with the conduct of the hearing and the management of evidence.
• Compiles statistical information and reports as required.
• Participates in special projects at the request of the manager, the Chief Hearing Officer, or the Deputy Chief Hearing Officer.
• Demonstration of FINRA’s values.
• Collaboration, both in-person and virtually, in furtherance of FINRA’s mission of investor protection and market integrity.
• Additional responsibilities as assigned.

Benefits

• Discretionary bonus
• Overtime pay
• 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, short- and long-term disability, long-term care, business travel accident, disability and legal insurance
• Immediate participation and vesting in a 401(k) plan with company match
• Eligibility for participation in an additional FINRA-funded retirement contribution
• Tuition reimbursement
• Commuter benefits
• Adoption assistance
• Backup family care
• Surrogacy benefits
• Employee assistance
• Wellness programs
• 15 days of paid time off
• 5 personal days
• 9 sick days
• Two volunteer service days
• Military leave
• Jury duty leave
• Bereavement leave
• Voting and election official leave
• Care of a family member leave
• Childbirth and parental leave
• Nine paid holidays

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level