Principal Analyst, Dispute Resolution

The Dispute Resolution Specialist supports case administration and the National Arbitration program for FINRA Dispute Resolution (DR).

Essential Job Functions:

• Develops and implements policies regarding FINRA’s arbitration program. Works with Senior Management to ensure uniform, consistent, high quality dispute resolution services.
• Advises regional offices on various case administration problems, as necessary. Develops and conducts staff training on new rules, processes, and procedures.
• Updates content of FINRA publications relating to the arbitration process, including internal staff procedures.
• Serves as subject matter expert concerning expungement, jurisdiction, investment advisers, among other matters.
• Tracks payment of arbitration awards by firms and registered persons, and administers expedited suspension proceedings for failure to pay awards or comply with settlement agreements.
• Manages arbitration claim intake process.
• Establishes and monitors performance metrics and conducts annual case audits.
• Tracks and responds to complaints about arbitration processes.
• Prepares reports, correspondence, and memoranda for FINRA senior management and the SEC.
• Participates in conferences and meetings to educate key constituent groups about FINRA’s dispute resolution forum. Attends NAMC, SICA, PIABA, and SIFMA meetings as directed.
• Responds to SEC, Internal Audit, and Ombudsman requests and inquiries regarding DR cases and procedures.
• Coordinates with other FINRA departments regarding overlapping issue, including: Member Regulation, Corporate Communication, Government Relations, OGC, Finance, RAD, and Enforcement.
• Assists with ensuring that department complies with FINRA’s Records Procedures when creating, identifying, maintaining and disposing of FINRA records.
• Verifies the accuracy and completeness of responses to SEC oversight inspection requests, non-oversight-related access requests from the SEC and other government agencies, and routine reports provided to the SEC.
• Assists with ensuring that department complies with FINRA’s Information Privacy and Protection Policy and properly classifies and authorizes access to information.

Other Responsibilities:

• Performs special projects as requested by the Deputy Director.

Education/Experience Requirements:

• Law Degree preferred. Bachelor’s degree, or equivalent, required.
• Five or more years of related experience Familiarity with FINRA rules relating to Dispute Resolution.
• Strong leadership skills required.
• Should also possess problem solving skills and initiative required to assess situations and resolve problems.
• Excellent oral and written communication skills required.

Work Conditions:

• Normal office conditions.
• Must use FINRA’s computer systems on a daily basis.
• Travel required.

For work that is performed in CA, CO, HI, MN, VT, IL, Jersey City, NJ, New York City, NY, MA, WA, MD, Washington, DC, NJ State and NY State, please refer to the chart below for the salary range for the corresponding location. 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 internal peer compensation comparisons.

CA: Minimum Salary $109,600, Maximum Salary $206,200

CO/HI/MN/VT*: Minimum Salary $95,300, Maximum Salary $171,800

IL*: Minimum Salary $104,900, Maximum Salary $189,400

Jersey City, NJ/NYC, NY: Minimum Salary $114,300, Maximum Salary $206,200

MA/WA: Minimum Salary $95,300, Maximum Salary $197,600

MD/Washington, DC: Minimum Salary $109,600 Maximum Salary $197,600

NJ State: Minimum Salary $104,900, Maximum $206,200

NY State: Minimum Salary $95,300, Maximum Salary $206,200

*Including positions performed outside the state but reporting to an office or manager in that state.

Candidates can expect salary offers that range from the minimum to the mid-point of the salary range. FINRA provides full pay ranges so that the candidate can consider their growth potential while at FINRA.

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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 dutie