Case Specialist, Dispute Resolution

This position performs a variety of duties, including applying analytical skills to research, review, analyze, and process legal documents such as pleadings filed in FINRA's arbitration forum. This is administrative professional work in which incumbents are applying their skills and attaining new skills; are able to handle routine matters independently and complex matters under supervision; are able to prioritize their work with independence;

and are working under general supervision.

Essential Job Functions:

Responsible for case intake, including preparing case for service by analyzing initial pleadings to ensure jurisdiction and conformity with requirements. Processes initial claims, which may include drafting deficiency notices for deficient claims or reservice of claim if original service is unsuccessful.

Analyzes and processes subsequent pleadings, including answers, counterclaims, cross-claims, and third-party claims.

Monitors case related reports to ensure compliance with deadlines and expectations. Responsible for meeting all required service level agreements for assignments.

Maintains motions calendar, solicits responses as needed, and prepares documentation for timely submission to arbitrators.

Makes recommendations for administrative motions and administratively processes substantive issues for decision by the panel, with assistance.

Assesses applicable fees at various stages of the case and makes written recommendations on fee waiver requests.

Reviews challenges to potential arbitrators, solicits responses, and makes recommendations on the decision to manager.

Ensures that all FINRA fees are assessed and billed according to the Code of Arbitration Procedure.

Conducts financial review of settled/withdrawn cases and closes cases within expected time frames.

Processes final financial review of settled/withdrawn cases and hearing awards and closes cases within expected time frames.

Reviews incoming submissions and takes appropriate action with assistance.

Determines proper composition of panel, generates list of arbitrators, reviews arbitrator information for conflicts, and eliminates arbitrators with conflicts, with assistance.

Replaces arbitrators on lists due to arbitrator unavailability and processes new or additional lists due to changes to panel composition.

Responsible for utilizing the ODR Portal and internal electronic docket management systems for processing assignments.

Provides excellent customer service, including responding to inquiries, orally or in writing, on FINRA arbitration policies and procedures, service of pleadings, status of cases, assessment of fees, and the ODR Portal.

Maintains electronic and physical file and enters all case-related information in the case processing system in accordance with established protocols.

Effectively prioritizes work with management oversight.

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/Public Speaking.

Education/Experience Requirements:

Bachelor’s degree and 1 year 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.

Familiarity with electronic docket management programs and web-based Portal systems a plus.

Excellent customer service skills, interpersonal skills, and written and verbal communication skills required.

Working Conditions:

Hybrid work environment, with defined in-person presence requirements.

Occasional travel may be required.

Some overtime may be required.

Limited opportunity to work from home…