- Los Angeles, CA
This position performs a variety of duties, including applying advanced analytical skills to provide interpretations regarding rules and regulations, and managing a docket of arbitration cases.
This is professional work in which the incumbents are applying their skills and attaining new skills; are able to handle routine matters independently and complex matters under limited supervision; are able to prioritize their work independently; and able to work under limited supervision generally.
Essential Job Functions:
- Manages assigned docket of cases, with responsibility to ensure that all case activities proceed timely and accurately.Â Utilizes the ODR Portal and internal docket management programs.
- Analyzes assigned cases for accuracy and completeness, and anticipates and resolves issues that may arise during the course of the case.
- Acts as liaison between parties and arbitrators to facilitate resolution of pre-hearing motions and requests.Â
- Ensures that motions for the panel are addressed in a timely manner and monitors case-related reports to ensure compliance with deadlines and expectations.Â
- Analyzes, summarizes and makes recommendations on administrative motions for decision by the Director, with limited assistance.
- Advises panel as to procedural matters and provides guidance on FINRA's arbitration rules and procedures, with limited assistance.
- Answers partiesâ€™ pre and post award inquiries orally and in writing.
- Provides excellent customer service, and responds to customer complaints orally and in writing.
- Attends hearings when necessary to observe arbitrators and fairness of the proceedings.
- Drafts and serves awards in a timely manner, disposing of all issues submitted for resolution with limited assistance.
- Closes cases by award in a timely manner and ensures that they are closed with financialÂ accuracy.
- Evaluates arbitrator performance.
- Monitors post-award litigation.Â
- Initiates disciplinary referrals.Â
- Involved with special projects as required by management, including presentations / public speaking.
- Bachelorâ€™s degree and 4 years of related experience or equivalent combination of education and experience;Â JD strongly preferred.
- Expertise using a desktop computer with the full suite of electronic office applications and other office equipment.
- Strong knowledge of electronic docket management programs and web-based Portal systems a plus.Â
- Excellent customer service, interpersonal, and written and verbal communication skillsÂ required.Â
- Must be highly organized and able to perform multiple tasks efficiently and accurately, in a fast-paced environment and under tight time constraints.
- Must function effectively in a team environment and work with others to meet deadlines.
- Strong work ethic, positive attitude, and professional demeanor.
- Strong communication, time management, organizational and attention to detail skills.Â
- Candidate must demonstrate discretion and sound judgment, due to the confidential nature of the work.
- Strong leadership skills required.
- Work is normally performed in an office environment.
- Occasional travel is required.Â Â
- Extended hours are frequently required.Â Â
- Limited opportunity to work from home may be available, depending on business needs.
To be considered for this position, please submit an application.
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 FINRAâ€™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.
FINRAâ€™s Code of Conduct imposes restrictions on employeesâ€™ 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 Codeâ€™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 FINRAâ€™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 FINRAâ€™s Employee Confidentiality and Invention Assignment Agreement without qualification or modification and comply with the companyâ€™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 personâ€™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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