FINRA · 2 hours ago
Principal Analyst, Dispute Resolution
Chicago, IL
Full-time
Hybrid
Senior Level, Lead/Staff
$104K/yr - $156K/yr
7+ years expFINRA is a regulatory authority focused on investor protection and market integrity. The Dispute Resolution Principal Analyst will support case administration and the National Arbitration program, developing policies and ensuring high-quality dispute resolution services, while also advising and training staff on new processes.
FinanceFinancial ServicesNon Profit
Responsibilities
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, as necessary. Develops and conducts staff training on new rules, processes, and procedures
Updates content of FINRA publications relating to the arbitration process, including internal staff procedures. Serves as subject matter expert concerning expungement, jurisdiction, investment advisers, among other matters
Tracks payment of arbitration awards by firms and registered persons and administers expedited suspension proceedings for failure to pay awards or comply with settlement agreements
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. Attends NAMC, SICA, PIABA, and SIFMA meetings as directed
Responds to SEC, Internal Audit, and Ombudsman requests and inquiries regarding DR cases and procedures
Coordinates with other FINRA departments regarding overlapping issue, including: Member Regulation, Corporate Communication, Government Relations, OGC, Finance, CRED, and Enforcement
Assists with ensuring that department complies with FINRA’s Records Procedures when creating, identifying, maintaining and disposing of FINRA records
Verifies the accuracy and completeness of responses to SEC oversight inspection requests and routine reports provided to the SEC
Assists with ensuring that department complies with FINRA’s Information Privacy and Protection Policy and properly classifies and authorizes access to information
Demonstration of FINRA’s values
Collaboration, both in-person and virtually, in furtherance of FINRA’s mission of investor protection and market integrity
Qualification
Required
Bachelor's degree and a minimum of seven years of related experience working in a professional legal environment
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, including ability to manage multiple complex projects concurrently and execute against tight deadlines in multiple areas with different requirements
Strong leadership skills
Superior writing, editing, interpersonal communication, and presentation skills. This includes the ability to concisely and effectively articulate ideas and recommendations to senior management, while providing important details
Ability to interact diplomatically, professionally, and confidently with committee members, senior management, and staff at all levels
Preferred
Law Degree preferred
Familiarity with FINRA rules relating to arbitration preferred
Benefits
Comprehensive health, dental and vision insurance
Basic life
Accidental death and dismemberment
Supplemental life
Spouse/domestic partner and dependent life
Spouse/domestic partner and dependent accidental death and dismemberment
Short- and long-term disability
Long-term care
Business travel accident
Disability and legal
401(k) plan with company match
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
Care of a family member leave
Childbirth and parental leave
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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