Docket Manager, Office of Hearing Officers

Are you looking for purpose and meaning in your work? Does the idea of working for a regulator speak to your moral compass?

As a not-for-profit entity, FINRA operates under the oversight of the SEC and sits at the nexus of broker-dealers, policymakers and investors. Because of this structure, FINRA is uniquely positioned to stimulate vibrant markets that protect investors, ensure robust trading activity, foster liquidity, and support innovation and growth.

FINRA is hiring a Docket Manager for our Office of Hearing Officers department.


The Docket Manager is responsible for independently handling functions related to the Office of Hearing Officer’s docket, including maintaining and auditing case records and databases, dealing with queries from parties and panelists, creating and maintaining reports for OHO management, performing triage for the OHO Docket Portal, and responding to document requests in connection with audits and SEC oversight.

The Docket Manager provides direct support to external stakeholders, such as Hearing Panelists. This position requires the incumbent to exercise sound judgment in a variety of situations, with strong written and verbal communication, administrative and organizational skills, and the ability to maintain a realistic balance among multiple priorities. The Docket Manager must be able to work under pressure to handle a wide variety of activities and confidential matters with discretion.

* Join us in our beautiful Washington, DC office in a hybrid work format. *

• Manages OHO docket to ensure filings are in compliance and adhere to confidentiality requirements, including maintenance of official records, electronic docket, databases, and OHO calendars. Partners with OHO’s Technology Analyst and FINRA’s Technology Department to troubleshoot systems problems with the processing of case-related data.
• Performs triage in OHO Docket Portal for all party filings.
• Handles requests from Internal Audit and SEC by analyzing case-related documents such as decisions, and drafting responses in collaboration with key stakeholders, such as the Oversight Liaison and Counsel’s Office (OLC).
• Participates in training case administrators on OHO docket compliance, databases, and records.
• Manages and oversees reports for distribution to FINRA senior management, FINRA’s Board and Committees, and other FINRA departments, such as the Credentialing, Registration, Education and Disclosure (CRED) group.
• Compiles statistical information and reports as required for the Chief Hearing Officer (CHO), the Deputy Chief Hearing Officer (DCHO) and the Case Administrator Manager to assist with monitoring OHO cases.
• Ensures accuracy and deadlines of case filings; reports to the CHO and DCHO as necessary when action is required.
• Communicates directly with FINRA key stakeholders, such as parties, counsel, and industry members serving as hearing panelists, on OHO case-related matters. Trains OHO staff and external stakeholders on the department docketing program.
• Collaborates with OHO’s Hearing Panelist Program Manager to ensure that all industry panelists are fully supported. Provides assistance to industry panelists including, but not limited to:
  • researching, accessing, and updating case-related documents in OHO’s electronic docketing program;
  • ensuring compliance with required OHO procedures and policies and submission of required certifications;
  • managing calendars to reflect availability to serve on hearings; and
  • performing finance and accounting duties for expense reimbursements and payment of honorariums in connection with OHO hearings.
• Leverages an in-depth working knowledge and understanding of procedural rules and requirements in connection with processing OHO cases.
• Demonstrates FINRA’s values.
• Collaborates, both in-person and virtually, in furtherance of FINRA’s mission of investor protection and market integrity.

Other Responsibilities:

• Provides coverage for case administrator responsibilities as needed.

• Participates in special projects at the request of the CHO or the DCHO.

• Coordinates OHO’s technical and administrative needs with responsible FINRA offices.

Education/Experience Requirements:

• Bachelor’s degree and eight (8) years of experience in adjudicatory services or similar litigation-related experience; or an equivalent combination of education and experience.

• Paralegal certificate and at least six (6) years of equivalent paralegal experience.

• Extensive knowledge of court rules and procedures.

• Experience working with electronic dockets or PACER systems preferred.

• Proficiency with Microsoft Office applications such as Word, Excel, and PowerPoint, as well as experience utilizing travel and expense systems such as Concur. Must possess ability to learn new software and operating systems as needed.

• Experience providing support at a senior level involving the high-level exercise of judgment.

• Detailed oriented with strong organizational and planning skills with a proven record of managing and delivering high value complex projects, on schedule, and to high quality standards.

• Excellent interpersonal and written communication skills required.

• Ability to work well independently as well as effectively within a team.

• Some experience with FINRA proceedings preferred.

Working Conditions:

• Hybrid work environment, with defined in-person presence in our Washington, DC office required.

• Work outside of business hours and some travel may be required.

For work that is performed in CO, FL, TX, IL, PA, MA, MD, VA, Washington, DC, NY and NJ, please refer to the chart below for the salary range for the corresponding location. FINRA complies with all state and local pay transparency laws and regulations requiring the disclosure of salary ranges for the position. In addition to location, actual compensation is based on various factors, including but not limited to, the candidate’s skill set, level of experience, education, and market considerations. 

CO/FL/TX: Minimum Salary $97,700, Maximum Salary $176,100

IL/PA: Minimum Salary $107,500, Maximum Salary $194,100

MA/MD/VA/Washington, DC: Minimum Salary $112,300 Maximum Salary $202,500

NY/NJ: Minimum Salary $112,300, Maximum Salary $211,400

To be considered for this position, please submit an application. Applications are accepted on an ongoing basis.

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.

Please note: If the “Apply Now” button on a job board posting does not take you directly to the FINRA Careers site, enter www.finra.org/careers into your browser to reach our site directly.

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.

*Based on full-time schedule

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 main