FINRA · 2 hours ago
Case Specialist, Dispute Resolution
New York, NY
Full-time
Hybrid
Entry Level
$36.34/hr - $54.50/hr
1+ years expFINRA is a regulatory organization focused on investor protection and market integrity. They are seeking a Case Specialist in Dispute Resolution to handle case intake, analyze legal documents, and ensure compliance with deadlines and service level agreements.
FinanceFinancial ServicesNon Profit
Responsibilities
Responsible for case intake, including preparing case for service by analyzing initial pleadings to ensure jurisdiction and conformity with requirements. Processes initial claims, which may include drafting deficiency notices for deficient claims or reservice of claim if original service is unsuccessful
Analyzes and processes subsequent pleadings, including answers, counterclaims, cross-claims, and third-party claims
Monitors case related reports to ensure compliance with deadlines and expectations. Responsible for meeting all required service level agreements for assignments
Maintains motions calendar, solicits responses as needed, and prepares documentation for timely submission to arbitrators
Makes recommendations for administrative motions and administratively processes substantive issues for decision by the panel, with assistance
Assesses applicable fees at various stages of the case and makes written recommendations on fee waiver requests
Reviews challenges to potential arbitrators, solicits responses, and makes recommendations on the decision to manager
Ensures that all FINRA fees are assessed and billed according to the Code of Arbitration Procedure
Conducts financial review of settled/withdrawn cases and closes cases within expected timeframes
Processes final financial review of settled/withdrawn cases and hearing awards and closes cases within expected timeframes
Reviews incoming submissions and takes appropriate action with assistance
Determines proper composition of panel, generates list of arbitrators, reviews arbitrator information for conflicts, and eliminates arbitrators with conflicts, with assistance
Replaces arbitrators on lists due to arbitrator unavailability and processes new or additional lists due to changes to panel composition
Responsible for utilizing the ODR Portal and internal electronic docket management systems for processing assignments
Provides excellent customer service, including responding to inquiries, orally or in writing, on FINRA arbitration policies and procedures, service of pleadings, status of cases, assessment of fees, and the ODR Portal
Maintains electronic and physical file and enters all case-related information in the case processing system in accordance with established protocols
Effectively prioritizes work with management oversight
Demonstration of FINRA’s values
Collaboration, both in-person and virtually, in furtherance of FINRA’s mission of investor protection and market integrity
Additional duties as required by management, including Presentations/Public Speaking
Qualification
Required
Bachelor's degree and 1 year of related experience or equivalent combination of education and experience
Expertise using a desktop computer with the full suite of electronic office applications and other office equipment
Excellent customer service skills, interpersonal skills, and written and verbal communication skills required
Preferred
Familiarity with electronic docket management programs and web-based Portal systems a plus
Benefits
Comprehensive health, dental and vision insurance
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
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
Adoption assistance
Backup family care
Surrogacy benefits
Employee assistance
Wellness programs
15 days of paid time off
5 personal days
9 sick days
Two volunteer service days
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)
Childbirth and parental leave (available after 90 days of employment)
Nine paid holidays
Company
FINRA
The Financial Industry Regulatory Authority (FINRA) is an independent regulator for securities firms doing business in the U.S. It is a sub-organization of Thrivent.
1001-5000 employees
Funding
Current Stage
Late StageLeadership Team
Tina Salehi Gubb
Senior Vice President
Michael Solomon
Executive Vice President of Examinations and Membership Application Program
Recent News
Investment News
2026-01-13
2026-01-06
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