Administrator - National Mediation

    • Boca Raton, FL

Manage and oversee mediation operations. Increase the number of securities related disputes settled through mediation, thereby increasing customer and industry satisfaction by facilitating efficient resolution of disputes

Essential Job Functions:

Mediation Program Administration

  • Direct oversight of mediation program nationally including cases in which the parties agree to mediate directly and arbitration converted cases. Answer questions about the mediation process and make decisions about eligibility of requests.
  • Develop and implement FINRA Dispute Resolution case administration policies and practices.
  • Identify national recruitment needs and seek a diverse roster of qualified mediators. Oversee the mediator application process to ensure that new applications are processed efficiently and in a consistent manner and mediator candidates are screened for proper qualifications. Coordinate application approval through the NAMC Mediation Subcommittee
  • Provide opportunities for new mediators to connect with seasoned mediators for a mentoring relationship and assist with scheduling mediation observations or co-mediation of FINRA cases.
  • Oversee marketing and outreach plan for mediation aspects of the forum as well as for special mediation events and programs.
  • Design and recommend special mediation programs to meet the needs of our constituents associated with resolving groups of cases or special situations, including conducting cost/benefit analysis and pricing adjustments.
  • Oversee communications with the mediator roster including preparing notifications by email and for the external website on the Mediator Annual Fee, Portal usage, and general notifications about upcoming programs or new procedures.
  • Respond to inquiries from DR management, attorneys, DR staff, neutrals, and parties regarding issues surrounding the mediation process, complaints, or procedural problems.
  • Prepare reports on mediation and special programs for DR management, NAMC, and DR Board.
  • Evaluate all mediators periodically and, if needed, make recommendations to remove mediators from roster.
  • Serve as Department liaison with the Finance, Corporate Communication, DR Technology, Case Administration, and Neutral Management departments to coordinate services as needed.
  • Oversee mediation accounts and budgets. Maintain and recommend enhancements of technology systems and applications to better support mediation.
  • Regularly connect with regional arbitration staff to promote use of mediation through our program and provide training on the mediation process. Train mediation and arbitration staff on new Mediation Rules and procedures affecting overall operations.
  • Develop and prepare statistical analyses of mediation services and results of special projects as required.
  • Assist in ensuring uniform and consistent administrative policies and excellent customer services by (but not limited to): the analysis of customer service surveys, and review of administrative management reports.
  • May supervise Mediation Case Administrator

Mediation Case Administration
  • Case administration of both arbitration converted cases and cases in which the parties agree to mediate first. Determine mediating parties, assess fees, and negotiate conditions to mediate.
  • Conduct regular solicitation of the parties in active arbitration cases through a variety of outreach methods to introduce the mediation alternative. Use reports to recognize filing trends and identify multiple party cases. Monthly, determine cases nearing arbitration final hearing dates to encourage mediation. Market special mediation programs such as Mediation Settlement Month. Communicate with frequent users of our forum to encourage mediation on a regular basis.
  • Report monthly statistical information on mediation activity in the regions using a shared Department database. Maintains this information in a shared Department database and sends monthly updates to DR Infrastructure for purposes of reporting statistics on our external website.

Other Responsibilities:
  • Assist with other projects as assigned by management.

Education/Experience Requirements:
  • Law degree or advanced degree in management or dispute resolution preferred. Seven (7) years legal, diverse dispute resolution and management experience.
  • Excellent interpersonal and written communication skills.
  • Presentation and promotional experience preferred. Securities industry and FINRA experience preferred.

Work Conditions:
  • Normal office conditions. Must be available to travel and make presentations.

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.

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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.

Important Information

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. 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 restrictionsâ€"including disposing of any security issued by a company on FINRA’s Prohibited Company List or obtaining a written waiver from their Executive Vice Presidentâ€"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.

You can read more about these restrictions here.

As standard practice, 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.

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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