Case Administrator II Position in Dispute Resolution NY (FINRA)

Job Description

Case Administrator II - Dispute Resolution - New York, NY
Job Number:
003215

Description

We Work to Protect Investors. Join our Team.

FINRA is seeking a well qualified individual for our Case Administrator II opening in New York, NY. To be considered for this position, please submit your resume and writing sample through our careers site-no phone calls, please.

Job Summary:

This position performs a variety of specific duties, including: assisting in the development and implementation of Dispute Resolution policies and initiatives; working with Dispute Resolution Senior Management to ensure uniform, consistent, and high quality services; and providing advice, guidance, and training to FINRA Dispute Resolution staff.

Essential Job Functions:
•Assist the Deputy Director of Case Administration with implementing Dispute Resolution policies and initiatives.
•Track payment of arbitration awards by firms and registered persons; administer FINRA Rule 9554 actions (expedited suspension proceedings) against firms and registered persons for failure to pay awards or comply with settlement agreements; collaborate with FINRA Enforcement and Office of Hearing Officers on Rule 9554 matters; and report to SEC on unpaid awards.
•Track the status of pending motions to vacate arbitration awards using Nexis/Lexis.
•Draft reports, correspondence and memoranda for FINRA Senior Management.
•Prepare materials that FINRA Senior Management presents to various external constituent organizations.
•Update content of Dispute Resolution publications and brochures.
•Collaborate with FINRA Dispute Resolution staff to formulate policy and procedures.
•Conduct staff training to ensure that cases are handled fairly and in a consistent manner; answer staff questions concerning case administrative procedures.

Other Responsibilities:
•May participate in National Arbitration and Mediation Committee meetings and its subcommittees.

Qualifications

Education/Experience Requirements:
•Law degree required.
•Law review experience is preferred.
•Bachelor's degree or equivalent required.
•Two or more years of relevant work experience required.
•Strong leadership skills are preferred.
•Excellent interpersonal and written communication skills are required.

Working Conditions:
•Work is normally performed in an office environment, with extended hours when necessary.

To be considered for this position, please submit a cover letter and resume. A writing sample may be required as part of the submission.

The information provided above has been designed to indicate the general nature and level of work of the position. It is not a comprehensive inventory of all duties, responsibilities and qualifications required.

Please note: If the "Apply Now" button on a job board posting does not take you directly to the FINRA Careers site, enter www.finra.org/careers into your browser to reach our site directly.

FINRA strives to make our career site accessible to all users. If you need a disability-related accommodation for completing the application process, please contact FINRA's accommodation help line at (240) 386-4865. Please note that this number is exclusively for inquiries regarding application accommodations.

In addition to a competitive salary, comprehensive health and welfare benefits, and incentive compensation, FINRA offers immediate participation and vesting in a 401(k) plan with company match. You will also be eligible for participation in an additional FINRA-funded retirement contribution, our tuition reimbursement program and many other benefits. If you would like to contribute to our important mission and work collegially in a professional organization that values intelligence, integrity and initiative, consider a career with FINRA.

Please note: FINRA's Code of Conduct imposes restrictions on employees' investments and requires financial disclosures that are uniquely related to our role as a securities regulator. As standard practice, employees must also complete FINRA's Employee Confidentiality and Invention Assignment Agreement and comply with the company's policy on nepotism.

About FINRA

The Financial Industry Regulatory Authority (FINRA) is the largest independent regulator for all securities firms doing business in the United States. FINRA's mission is to protect America's investors by making sure the securities industry operates fairly and honestly. All told, FINRA oversees nearly 4,600 brokerage firms, about 164,000 branch offices and approximately 632,000 registered securities representatives.

FINRA's independent regulation plays a critical role in America's financial system and touches virtually every aspect of the securities business-from registering and educating industry participants to examining securities firms; writing rules; enforcing those rules and the federal securities laws; informing and educating the investing public; providing trade reporting and other industry utilities; and administering the largest dispute resolution forum for investors and registered firms. We also perform market regulation under contract for the major U.S. stock markets, including the New York Stock Exchange, NYSE Arca, NYSE Amex, The NASDAQ Stock Market and the International Securities Exchange.

FINRA has approximately 3,000 employees and operates from Washington, DC, and New York, NY, with 20 regional offices around the country.

In today's fast-paced and complex global economy, FINRA is a trusted advocate for investors, dedicated to keeping the markets fair and proactively addressing emerging regulatory issues before they harm investors or the markets.

Find out more about us and how we work-and view our current openings-at www.finra.org/careers.

Search Firm Representatives

Please be advised that FINRA is not seeking assistance or accepting unsolicited resumes from search firms for this employment opportunity. Regardless of past practice, a valid written agreement and task order must be in place before any resumes are submitted to FINRA. All resumes submitted by search firms to any employee at FINRA without a valid written agreement and task order in place will be deemed the sole property of FINRA and no fee will be paid in the event that person is hired by FINRA.

FINRA is an Equal Opportunity and Affirmative Action Employer

All qualified applicants will receive consideration for employment without regard to age, citizenship status, color, disability, marital status, national origin, race, religion, sex, sexual orientation, gender identity, veteran status or any other classification protected by federal state or local laws as appropriate, or upon the protected status of the person’s relatives, friends or associates.

FINRA abides by the requirements of 41 CFR 60-741.5(a). This regulation prohibits discrimination against qualified individuals on the basis of disability, and requires affirmative action by covered prime contractors and subcontractors to employ and advance in employment qualified individuals with disabilities.

FINRA abides by the requirements of 41 CFR 60-300.5(a). This regulation prohibits discrimination against qualified protected veterans, and requires affirmative action by covered prime contractors and subcontractors to employ and advance in employment qualified protected veterans.

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