Principal Analyst, Dispute Resolution

FINRA • Chicago, IL

2d • Hybrid

About The Position

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.

Requirements

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

Nice To Haves

• Law Degree preferred.
• Familiarity with FINRA rules relating to arbitration preferred.

Responsibilities

• 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.

Benefits

• 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 life, accidental death and dismemberment, supplemental life, spouse/domestic partner and dependent life, and spouse/domestic partner and dependent accidental death and dismemberment, short- and long-term disability, long-term care, business travel accident, disability and legal.
• FINRA offers immediate participation and vesting in a 401(k) plan with company match and eligibility for participation in an additional FINRA-funded retirement contribution, tuition reimbursement, commuter benefits, and other benefits that support employee wellness, such as adoption assistance, backup family care, surrogacy benefits, employee assistance, and wellness programs.
• Time Off and Paid Leave FINRA encourages its employees to focus on their health and wellness in many ways, including through a generous time-off program of 15 days of paid time off, 5 personal days and 9 sick days, unless otherwise required by law (all pro-rated in the first year).
• Additionally, we are proud to support our communities by providing two volunteer service days (based on full-time schedule).
• Other paid leave includes military leave, jury duty leave, bereavement leave, voting and election official leave for federal, state or local primary and general elections, care of a family member leave (available after 90 days of employment); and childbirth and parental leave (available after 90 days of employment).
• Full-time employees receive nine paid holidays.

What This Job Offers

• Job Type: Full-time
• Career Level: Senior