Principal Analyst, Dispute Resolution

The Dispute Resolution Principal Analyst supports case administration and the National Arbitration program for FINRA Dispute Resolution Services (DRS).

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.
• 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, CRED, 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 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.
• Demonstration of FINRA’s values.
• Collaboration, both in-person and virtually, in furtherance of FINRA’s mission of investor protection and market integrity.

Education/Experience Requirements:

• Bachelor’s degree and a minimum of seven years of related experience working in a professional legal environment.

• Law Degree preferred.

• Familiarity with FINRA rules relating to arbitration preferred.

• Ability to quickly learn, analyze, and apply policies and procedures.

• Strong analytical, critical thinking, and decision-making skills and high attention to detail.

• Advanced knowledge and organizational skills related to project management, including ability to manage multiple complex projects concurrently and execute against tight deadlines in multiple areas with different requirements.

• Strong leadership skills.

• Superior writing, editing, interpersonal communication, and presentation skills. This includes the ability to concisely and effectively articulate ideas and recommendations to senior management, while providing important details.

• Ability to interact diplomatically, professionally, and confidently with committee members, senior management, and staff at all levels.

Work Conditions:

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

• Occasional travel and extended work hours may be required.

For work that is performed in Los Angeles and San Francisco, CA, 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. 

 

Los Angeles, CA: Minimum Salary $104,046, Maximum Salary $156,068

San Francisco, CA: Minimum Salary $108,570, Maximum Salary $162,854

CO/FL/TX: Minimum Salary $95,300, Maximum Salary $171,800

IL/PA: Minimum Salary $104,900, Maximum Salary $189,400

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

NY/NJ: Minimum Salary $109,600, Maximum Salary $206,200

#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 w