Senior Case Coordinator, Dispute Resolution

FINRA • Los Angeles, CA

4d • Hybrid

About The Position

This position appoints arbitrators to arbitration cases, schedules/reschedules pre-hearing conferences and hearings, and performs a wide variety of tasks such as generating memos and correspondence, maintaining electronic files, and setting up hearing rooms. This is skilled administrative work in which incumbents are experienced and proficient in their assigned roles; are able to independently prioritize their work; are able to handle routine matters independently and complex matters with limited supervision; and are able to work under limited supervision. Essential Job Functions: Generates, mails and/or publishes memos to the Dispute Resolution Services (DRS) Portal. Receives lists of arbitrators from parties, enters rankings in database, consolidates and/or extends lists as necessary. Properly documents reasons for arbitrator changes to case lists such as withdrawals and/or requests for removal. Contacts arbitrators to serve on cases. Appoints and/or replaces arbitrators to cases, following established procedures. As assigned, determines proper composition of arbitration panel, generates list of arbitrators, reviews arbitrator information for conflicts, and removes arbitrators from lists, as needed. Sends arbitrator lists to parties and makes ranking available through the DRS portal. Coordinates, schedules, and notifies parties and arbitrators of the date and time of conference calls and hearings. Coordinates and schedules in person and video conferences and updates the case to reflect the conference information. Attends prehearing conferences and hearings, as assigned. Processes party agreements to opt-out of IPHC. Processes requests to postpone hearings, reschedules hearings, as necessary, and assesses applicable postponement fees. Maintains electronic and physical files in accordance with established procedures. Files and/or scans correspondence promptly and prepares files for storage. Inputs written case notes and hearing dates into case processing system. Submits reservation requests for off-site hearings and coordinates with meetings team for changes or cancelations. Maintains digital recording files. Tracks hearing exhibits, recordings, and transcripts and follows up with arbitrators and parties as needed. Completes form to approve arbitrator travel through ADTRAV. Answers general questions from constituents, parties, and arbitrators. Processes incoming emails from central inbox and case management system, as needed. Reviews and processes incoming Arbitrator Oaths and follows up when necessary. Processes IPHC Orders and follows up when necessary. Close conference calls and pay arbitrators. Processes pre-hearing briefs, witness and exhibit lists. Processes physical checks. Processes arbitrator expense reports for submission to Finance. Cross-trains on Reception Coordinator, Case Coordinator, Case Specialist job functions and performs them as needed. Trains and provides guidance to staff, as needed. Serves as a role model and subject matter expert for staff in the department. 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.

Requirements

• High School and 6 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 organizational ability, interpersonal skills, and written and verbal communications skills.

Nice To Haves

• Bachelor's degree preferred.

Responsibilities

• Generates, mails and/or publishes memos to the Dispute Resolution Services (DRS) Portal.
• Receives lists of arbitrators from parties, enters rankings in database, consolidates and/or extends lists as necessary.
• Properly documents reasons for arbitrator changes to case lists such as withdrawals and/or requests for removal.
• Contacts arbitrators to serve on cases.
• Appoints and/or replaces arbitrators to cases, following established procedures.
• As assigned, determines proper composition of arbitration panel, generates list of arbitrators, reviews arbitrator information for conflicts, and removes arbitrators from lists, as needed.
• Sends arbitrator lists to parties and makes ranking available through the DRS portal.
• Coordinates, schedules, and notifies parties and arbitrators of the date and time of conference calls and hearings.
• Coordinates and schedules in person and video conferences and updates the case to reflect the conference information.
• Attends prehearing conferences and hearings, as assigned.
• Processes party agreements to opt-out of IPHC.
• Processes requests to postpone hearings, reschedules hearings, as necessary, and assesses applicable postponement fees.
• Maintains electronic and physical files in accordance with established procedures.
• Files and/or scans correspondence promptly and prepares files for storage.
• Inputs written case notes and hearing dates into case processing system.
• Submits reservation requests for off-site hearings and coordinates with meetings team for changes or cancelations.
• Maintains digital recording files.
• Tracks hearing exhibits, recordings, and transcripts and follows up with arbitrators and parties as needed.
• Completes form to approve arbitrator travel through ADTRAV.
• Answers general questions from constituents, parties, and arbitrators.
• Processes incoming emails from central inbox and case management system, as needed.
• Reviews and processes incoming Arbitrator Oaths and follows up when necessary.
• Processes IPHC Orders and follows up when necessary.
• Close conference calls and pay arbitrators.
• Processes pre-hearing briefs, witness and exhibit lists.
• Processes physical checks.
• Processes arbitrator expense reports for submission to Finance.
• Cross-trains on Reception Coordinator, Case Coordinator, Case Specialist job functions and performs them as needed.
• Trains and provides guidance to staff, as needed.
• Serves as a role model and subject matter expert for staff in the department.
• 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.

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: Senior
• Education Level: High school or GED
• Number of Employees: 1,001-5,000 employees