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Organization TypePublic Interest
Years of Experience
Date Last Verified
ProfileCase Administrator I - Dispute Resolution Duties: Performs a variety of specific duties, including applying analytical skills to assist with providing interpretations regarding rules and regulations. 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 on FINRA’s arbitration rules and procedures. Answers parties’ pre and post award inquiries orally and in writing. Responds to customer complaints orally and in writing. Attends hearings when necessary to observe arbitrators and fairness of the proceedings. 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. Involved with special projects at the request of the Regional Director.
Qualification and Experience
Requirements: JD Degree; or Bachelor’s degree and one year of legal or securities-related experience; or paralegal certificate and 3 years' experience as a Senior Case Assistant with FINRA or equivalent paralegal experience. Excellent organizational ability, interpersonal skills and written and verbal communication skills required.
Job Number: 006130. Send cover letter and resume with writing sample.