Essential Job Functions:
Manages case administrators and is accountable for conducting effective performance management and meaningful career development conversations.
Applies specialized legal skills to verify the accuracy of case administrator work and manages timely completion of projects.
Monitors staff input into internal docket management programs, including verifying that pleadings and communications from the parties in OHOâs legal proceedings are appropriately directed, recorded by staff, and addressed by OHO. Develops quality control procedures for monitoring cases to ensure compliance with deadlines and expectations.
Monitors and oversees the preparation and transmittal of appellate records to FINRAâs National Adjudicatory Council.
Coordinates with department management and hearing officers to ensure work coverage and efficient case administrator support for case work.
Defines strategies for the end-to-end case management process that focus on resolving issues that arise during a case to ensure that cases are accurately processed in a timely manner.
Communicates the direction of policies and procedures for the case management work area to ensure continuous team adherence and comprehension of established standards.
Assists with monitoring OHOâs compliance with the FINRA record retention policy and recommends changes when needed. Ensures that department records are correctly indexed and accurately stored electronically.
Integrates the culture of intelligence, integrity, and initiative into team goals and decisions.
Demonstrates FINRAâs values.
Collaborates, both in-person and virtually, in furtherance of FINRAâs mission of investor protection and market integrity.
Education/Experience Requirements:
Bachelorâs degree in Legal Studies preferred and a minimum of eight (8) years of relevant experience.
Experience supervising projects and/or mentoring junior staff.
Paralegal certificate preferred.
Excellent written and verbal communications skills, including interpersonal skills.
Strong organizational skills and excellent attention to detail.
Advanced time management, prioritization and strong analytical skills required. .
Demonstrated ability to lead and produce outstanding measurable results.
Hybrid work environment, with defined in-person presence requirements.
Extended hours may be required.
Occasional travel 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 candidateâs skill set, level of experience, education, and market considerations.Â
CO/FL/TX: Minimum Salary $114,200, Maximum Salary $207,200
IL/PA: Minimum Salary $125,900, Maximum Salary $228,000
MA/MD/VA/Washington, DC: Minimum Salary $131,200, Maximum Salary $238,300
NY/NJ: Minimum Salary $131,200, Maximum Salary $248,700
#LI-Hybrid
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 âApply Nowâ 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
FINRAâs Code of Conduct imposes restrictions on employeesâ 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 Codeâs investment and securities account restrictions, and new employees must comply with those investment restrictionsâincluding disposing of any security issued by a company on FINRAâs Prohibited Company List or obtaining a written waiver from their Executive Vice Presidentâby 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 FINRAâs Employee Confidentiality and Invention Assignment Agreement without qualification or modification and comply with the companyâs 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 Employer
All qualified applicants receive consideration for employment without regard to any legally protected category, including race, color, age, national origin, ethnicity, religion, disability, genetic information, military or veteran status, sex, or any other status or classification protected by state or local law.
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 FINRAâs Employee Relations team at 240-386-4865 or by email at EmployeeRelations@FINRA.org. Please note that this process is exclusively for inquiries regarding accommodations in the application process.
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