Case Administrator Manager, Office of Hearing Officers

The Case Administrator Manager in the Office of Hearing Officers’ (OHO) is responsible for overseeing the daily management of the case administration team. This includes assigning cases and projects, ensuring timeliness and high case administrator performance, and training. Resolves complex issues that arise during the course of a case. Reviews draft legal documents and supporting materials.

Essential Job Functions:

• Manages case administrators and is accountable for conducting effective performance management and meaningful career development conversations.

• Applies specialized legal skills to verify the accuracy of case administrator work and manages timely completion of projects.

• Monitors staff input into internal docket management programs, including verifying that pleadings and communications from the parties in OHO’s legal proceedings are appropriately directed, recorded by staff, and addressed by OHO. Develops quality control procedures for monitoring cases to ensure compliance with deadlines and expectations.

• Monitors and oversees the preparation and transmittal of appellate records to FINRA’s National Adjudicatory Council.

• Coordinates with department management and hearing officers to ensure work coverage and efficient case administrator support for case work.

• Defines strategies for the end-to-end case management process that focus on resolving issues that arise during a case to ensure that cases are accurately processed in a timely manner.

• Communicates the direction of policies and procedures for the case management work area to ensure continuous team adherence and comprehension of established standards.

• Assists with monitoring OHO’s compliance with the FINRA record retention policy and recommends changes when needed. Ensures that department records are correctly indexed and accurately stored electronically.

• Integrates the culture of intelligence, integrity, and initiative into team goals and decisions.

• Demonstrates FINRA’s values.

• Collaborates, both in-person and virtually, in furtherance of FINRA’s mission of investor protection and market integrity.

Education/Experience Requirements:

• Bachelor’s degree in Legal Studies preferred and a minimum of eight (8) years of relevant experience.

• Experience supervising projects and/or mentoring junior staff.

• Paralegal certificate preferred.

• Excellent written and verbal communications skills, including interpersonal skills.

• Strong organizational skills and excellent attention to detail.

• Advanced time management, prioritization and strong analytical skills required. .

• Demonstrated ability to lead and produce outstanding measurable results.

Working Conditions:

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

• Extended hours may be required.

• Occasional travel required.

For work that is performed in CO, FL, TX, IL, PA, MA, MD, VA, Washington, DC, NY and NJ, 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. 

 

CO/FL/TX: Minimum Salary $114,200, Maximum Salary $207,200

IL/PA: Minimum Salary $125,900, Maximum Salary $228,000
MA/MD/VA/Washington, DC: Minimum Salary $131,200, Maximum Salary $238,300

NY/NJ: Minimum Salary $131,200, Maximum Salary $248,700

#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 li