Case Specialist, Dispute Resolution

FINRA•New York City, NY

2d•Hybrid

About The Position

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 reservice 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 Conducts financial review of settled/withdrawn cases and closes cases within expected timeframes. Processes final financial review of settled/withdrawn cases and hearing awards and closes cases within expected timeframes.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. Replaces arbitrators on lists due to arbitrator unavailability and processes new or additional lists due to changes to panel composition. 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. 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: Additional duties as required by management, including Presentations/Public Speaking.

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.
Excellent customer service skills, interpersonal skills, and written and verbal communication skills required.

Nice To Haves

Familiarity with electronic docket management programs and web-based Portal systems a plus.

Responsibilities

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 reservice 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.
Replaces arbitrators on lists due to arbitrator unavailability and processes new or additional lists due to changes to panel composition.
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.
Demonstration of FINRA’s values.
Collaboration, both in-person and virtually, in furtherance of FINRA’s mission of investor protection and market integrity.
Additional duties 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.

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