Case Specialist, Dispute Resolution
FINRA•Los Angeles, CA
•$35 - $64•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.
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- Conducts financial review of settled/withdrawn cases and closes cases within expected timeframes.
- Processes final financial review of settled/withdrawn cases and hearing awards and closes cases within expected timeframes.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
- Discretionary bonus
- Overtime pay
- Comprehensive health insurance
- Dental insurance
- Vision insurance
- Basic life insurance
- Accidental death and dismemberment insurance
- Supplemental life insurance
- Spouse/domestic partner and dependent life insurance
- Spouse/domestic partner and dependent accidental death and dismemberment insurance
- Short-term disability insurance
- Long-term disability insurance
- Long-term care insurance
- Business travel accident insurance
- Legal insurance
- Immediate participation and vesting in a 401(k) plan with company match
- FINRA-funded retirement contribution
- Tuition reimbursement
- Commuter benefits
- Adoption assistance
- Backup family care
- Surrogacy benefits
- Employee assistance programs
- 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
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What This Job Offers
Job Type
Full-time
Career Level
Entry Level
