Case Coordinator, Dispute Resolution at FINRA in Chicago, Illinois

Posted in Legal 6 days ago.

Type: Full-Time

Job Description:

This position appoints arbitrators to arbitration cases, schedules/reschedules pre-hearing conferences and hearings, and performs a wide variety of tasks such as generating memos and correspondence, electronic filing, and setting up hearing rooms.

This is skilled administrative work in which incumbents are proficient in their assigned roles; are able to independently prioritize their work; are able to handle routine matters independently and complex matters under close supervision; and are able to work under close supervision generally.

Essential Job Functions:

  • Generates, mails and/or publishes memos to the ODR Portal, as instructed.

  • Receives lists of arbitrators from parties, enters rankings in database, consolidates and/or extends lists as necessary.

  • Properly documents reasons for arbitrator changes to case lists such as withdrawals and/or requests for removal.

  • Contacts arbitrators to serve on cases.  Appoints and/or replaces arbitrators to cases, following established procedures.

  • Coordinates, schedules, and notifies parties and arbitrators in writing of the date and time of conference calls and hearings.

  • Coordinates and schedules telephonic conferences with service provider.

  • Processes requests, responses, and decisions to postpone hearings and reschedules hearings, as necessary.

  • Maintains electronic and physical files in accordance with established procedures.  Files and/or scans correspondence promptly and prepares files for storage.

  • Inputs written case notes and hearing dates into case processing system.

  • Reserves hearing locations for off-site hearings.  Reserves, prepares and recovers hearing rooms for on-site hearings and arranges for box storage.

  • Fulfills recording requests and downloads digital recordings.

  • Answers general questions from parties and arbitrators.  Answers more complex questions with limited assistance. 

  • Processes incoming emails and faxes from central inbox and case management system, as needed.

  • Reviews and process incoming Arbitrator Oaths and Orders, with limited assistance.

  • As assigned, determines proper composition of arbitration panel, generates list of arbitrators, reviews arbitrator information for conflicts, and eliminates arbitrators from lists, as needed, with limited assistance.

  • Reviews and/or processes arbitrator expense reports for submission to Finance, as needed.

  • Reviews vendor/hotel invoices for submission to Finance Department, as needed.

  • Cross-trained on Senior Case Coordinator and Case Specialist job functions, as needed.

  • Trains and provides guidance to staff as needed on issues of general to moderate complexity.

  • Serves as a role model for staff in the department.

Other Responsibilities:

  • Additional duties as required by management, including presentations.

Education/Experience Requirements:

  • High School and 4 years of related experience or equivalent combination of education and experience.  Bachelor's degree preferred.

  • Expertise using a desktop computer with the full suite of electronic office applications and other office equipment. 

  • Excellent organizational ability, interpersonal skills, and written and verbal communications skills.

To be considered for this position, please submit an application.

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.

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FINRA strives to make our career site accessible to all users. If you need a disability-related accommodation for completing the application process, please contact FINRA’s accommodation help line at 240.386.4865. Please note that this number is exclusively for inquiries regarding application accommodations.

In addition to a competitive salary, comprehensive health and welfare benefits, and incentive compensation, FINRA offers immediate participation and vesting in a 401(k) plan with company match. You will also be eligible for participation in an additional FINRA-funded retirement contribution, our tuition reimbursement program and many other benefits. If you would like to contribute to our important mission and work collegially in a professional organization that values intelligence, integrity and initiative, consider a career with FINRA.

Important Information

FINRA’s Code of Conduct imposes restrictions on employees’ investments and requires financial disclosures that are uniquely related to our role as a securities regulator. FINRA employees are required to disclose to FINRA all brokerage accounts that they maintain, and those in which they control trading or have a financial interest (including any trust account of which they are a trustee or beneficiary and all accounts of a spouse, domestic partner or minor child who lives with the employee) and to authorize their broker-dealers to provide FINRA with duplicate statements for all of those accounts. All of those accounts are subject to the Code’s investment and securities account restrictions, and new employees must comply with those investment restrictions—including disposing of any security issued by a company on FINRA’s Prohibited Company List or obtaining a written waiver from their Executive Vice President—by the date they begin employment with FINRA. Employees may only maintain securities accounts that must be disclosed to FINRA at one or more securities firms that provide an electronic feed (e-feed) of data to FINRA, and must move securities accounts from other securities firms to a firm that provides an e-feed within three months of beginning employment.

You can read more about these restrictions here.

As standard practice, employees must also execute FINRA’s Employee Confidentiality and Invention Assignment Agreement without qualification or modification and comply with the company’s policy on nepotism.

Search Firm Representatives

Please be advised that FINRA is not seeking assistance or accepting unsolicited resumes from search firms for this employment opportunity. Regardless of past practice, a valid written agreement and task order must be in place before any resumes are submitted to FINRA. All resumes submitted by search firms to any employee at FINRA without a valid written agreement and task order in place will be deemed the sole property of FINRA and no fee will be paid in the event that person is hired by FINRA.

FINRA is an Equal Opportunity and Affirmative Action Employer

All qualified applicants will receive consideration for employment without regard to age, citizenship status, color, disability, marital status, national origin, race, religion, sex, sexual orientation, gender identity, veteran status or any other classification protected by federal state or local laws as appropriate, or upon the protected status of the person’s relatives, friends or associates.

FINRA abides by the requirements of 41 CFR 60-741.5(a). This regulation prohibits discrimination against qualified individuals on the basis of disability, and requires affirmative action by covered prime contractors and subcontractors to employ and advance in employment qualified individuals with disabilities.

FINRA abides by the requirements of 41 CFR 60-300.5(a). This regulation prohibits discrimination against qualified protected veterans, and requires affirmative action by covered prime contractors and subcontractors to employ and advance in employment qualified protected veterans.

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