Associate Regional Director, Dispute Resolution (Legal)

This position performs a variety of specific duties, primarily managing a staff of case administrators. Other duties include applying analytical skills to assist with providing interpretations regarding rules and regulations.

This is high-level professional work in which the incumbents are fulfilling their assigned roles, applying their job skills and working under minimal supervision.

Essential Job Functions:

• Reviews management reports and ensures that staff serves awards and closes cases in a timely manner. Advises staff of any outstanding case activities that must be completed.
• Reviews new cases and assigns them to case administrators.
• Conducts regular meetings with staff to advise them of new procedures.
• Conducts audits to ensure that all service level agreements are being met.
• Coordinates with the Case Assistant Manager and Processing/Logistical Manager to ensure that work flow between case administration and case processing runs smoothly. Acts as the back-up to these supervisors.
• Supervises and trains staff. Discusses performance issues with staff. Reviews staff performance evaluations and makes recommendations on promotions, salary, and incentive compensation.
• Manages individual case assignments. 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. Ensures that motions for the panel are addressed in a timely manner. Advises panel as to procedural matters and provides guidance pursuant to the Code.
• Drafts and serves awards, which dispose of all issues submitted for resolution in a timely manner.
• Closes cases by award in a timely manner and ensures that they are closed with financial accuracy.
• Evaluates arbitrators' performances at the conclusion of the case.
• Monitors post-award litigation. Initiates disciplinary referrals and non-summary suspensions.
• Responsible for projects such as arbitrator training; management of NLSS drop notes; administration of employment discrimination cases; coordination with outside speakers for presentations to staff; review of management reports to track case service; compilation of quarterly statistics on arbitrator evaluations for SEC; acting board member of the Neutral Corner, or any other projects at the request of the regional Director.

Education/Experience Requirements:

• Bachelor's degree and seven years legal or securities-related experience and supervisory experience; or five years experience as a Case Administrator with supervisory experience; or JD, admission to a state bar and five years of legal, arbitration and supervisory experience.
• Excellent interpersonal and written communication skills.

Work Conditions:

• Work is normally performed in an office environment.
• Occasional travel may be required.

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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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 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.

Search Firm Representatives

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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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