Principal Analyst, Dispute Resolution
FINRA
full-time
Posted on:
Location Type: Hybrid
Location: Chicago • California • Florida • United States
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Salary
💰 $104,900 - $189,400 per year
Job Level
About the role
- Supports case administration and the National Arbitration program for FINRA Dispute Resolution Services (DRS)
- 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
- Develops and conducts staff training on new rules, processes, and procedures
- Updates content of FINRA publications relating to the arbitration process
- Serves as subject matter expert concerning expungement, jurisdiction, investment advisers, among other matters
- Tracks payment of arbitration awards by firms and registered persons
- 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
Requirements
- Bachelor’s degree
- 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
- Strong leadership skills
- Superior writing, editing, interpersonal communication, and presentation skills
Benefits
- Comprehensive health, dental and vision insurance
- Basic life and supplemental life insurance
- Accidental death and dismemberment insurance
- Spouse/domestic partner and dependent life insurance
- Short- and long-term disability insurance
- Long-term care insurance
- Business travel accident insurance
- Disability and legal insurance
- Immediate participation and vesting in a 401(k) plan with company match
- Tuition reimbursement
- Commuter benefits
- Adoption assistance
- Backup family care
- Surrogacy benefits
- Employee assistance and wellness programs
- Generous time-off program of 15 days of paid time off, 5 personal days and 9 sick days
- Two volunteer service days (based on full-time schedule)
- Paid holiday leave
Applicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard Skills & Tools
case administrationpolicy developmentdispute resolutionstaff trainingreport preparationarbitration processproject managementanalytical skillscritical thinkingdecision-making
Soft Skills
attention to detailleadership skillsinterpersonal communicationwriting skillsediting skillspresentation skills
Certifications
Bachelor’s degreeLaw Degree