The posting
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 proficient in their assigned roles; are able to independently prioritize their work; are able to handle routine matters independently and complex matters under close supervision; and are able to work under close 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.
- Coordinates, schedules, and notifies parties and arbitrators of the date and time of conference calls and hearings.
- Coordinates with meetings team and schedules in person and video conferences and updates the case to reflect the conference information.
- Processes requests to postpone hearings and reschedules hearings, as necessary.
- Assess applicable postponement fees, as necessary.
- Processes party agreements to opt out of IPHC.
- Attends prehearing conferences and hearings, as assigned.
- Closes conference calls and pays arbitrators.
- 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.
- Maintains digital recording files.
- Prepares and provides digital recording files to parties and arbitrators, as requested.
- Answers general questions from constituents, parties, and arbitrators
- Processes incoming emails from central inbox and case management system, as needed.
- Processes pre-hearing briefs, witness lists, and exhibits.
- Tracks hearing exhibits, recordings, and transcripts and follows up, as necessary.
- Reviews and process incoming Arbitrator Oaths and Checklists and follows, as necessary.
- As assigned, determines proper composition of arbitration panel, generates list of arbitrators, reviews arbitrator information for conflicts, and eliminates arbitrators from lists, as needed.
- Conducts internet searches on appointed arbitrators, as necessary.
- Processes arbitrator expense reports for submission to Finance.
- Processes physical checks.
- Prepares form for approval of arbitrator travel through AdTrav.
- Cross-trained on and performs Reception Coordinator, Senior Case Coordinator, and Case Specialist job functions, as needed.
- Trains and provides guidance to staff as needed.
- Serves as a role model 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.
Education/Experience Requirements:
- High School and 4 years of related experience or equivalent combination of education and experience. Bachelor's degree preferred.
- 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.
Work Conditions:
- Hybrid work environment, with defined in-person presence requirements.
For work that is performed in Los Angeles and San Francisco, CA, CO, CT, IL, PA, MA, MD, VA, WA, DC, NY, NJ, WA please refer to the chart below for the salary range for the corresponding location. FINRA complies with all state and local pay transparency laws and regulations requiring the disclosure of salary ranges for the position. In addition to location, actual compensation is based on various factors, including but not limited to, the candidate’s skill set, level of experience, education, and market considerations.
Los Angeles, CA: $28.50 - $42.75
San Francisco, CA: $29.52 - $44.28
Boston, MA: $27.18 - $47.43
Chicago, IL: $25.98 - $45.36
Denver, CO: $23.63 - $41.25
Jericho, NY: $27.18 - $47.43
Jersey City, NJ: $28.37 - $49.50
Philadelphia, PA: $25.98 - $45.36
New York, NY: $28.37 - $49.50
Rockville, MD: $27.18 - $47.43
Tysons, VA: $27.18 - $47.43
Washington, DC: $27.18 - $47.43
Woodbridge, NJ: $27.18 - $47.43
Connecticut State: $23.63 - $49.50
Washington State: $23.63 - $49.50
#LI-Hybrid
To be considered for this position, please submit an application. Applications are accepted on an ongoing basis.
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.
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 starting at 15 days of paid time off (increasing with years of service, up to 25 days), 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.
*Based on full-time schedule
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 restrictions—including disposing of any security issued by a company on FINRA’s Prohibited Company List or obtaining a written waiver from their Executive Vice President—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.
Washington state applicants: click here for required notice(s).
Search Firm Representatives
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All qualified applicants receive consideration for employment without regard to any legally protected category, including race, color, age, national origin, ethnicity, religion, disability, genetic information, military or veteran status, sex, or any other status or classification protected by state or local law.
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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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