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Organization TypePublic Interest
Years of Experience
Date Last Verified
ProfileAssociate Regional Director - Dispute Resolution Duties: Applying analytical skills to assist with providing interpretations regarding rules and regulations. Supervises and trains Case Administrators. Discusses performance issues with staff. Writes staff performance evaluations and makes recommendations on promotions, salary, and incentive compensation. Reviews management reports and ensures that staff serves awards and closes cases in a timely manner. Advises staff of any outstanding case activities that must be completed. Reviews new cases and assigns them to case administrators. Conducts regular meetings with staff to advise them of new procedures. Conducts audits to ensure that all service level agreements are being met. 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 pursuant to the Code. 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. Coordinates with the Case Assistant Manager and Processing/Logistical Manager to ensure that work flow between case administration and case processing runs smoothly. Acts as a back-up to these managers. Responsible for special projects such as arbitrator training; review of management reports; administration of special cases; arranging for outside speakers for presentations to staff; compilation of quarterly statistics on arbitrator evaluations for SEC; or any other projects at the request of the Regional Director.
Qualification and Experience
Requirements: Bachelor’s degree and seven years legal or securities-related experience and supervisory experience; or 5 years experience as a Case Administrator with supervisory experience; or JD Degree, admission to a state bar and 5 years of legal, arbitration and supervisory experience. Excellent interpersonal and writing skills.
Job Number: 006076
10 S La Salle Street
Chicago, IL 60603-1000