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Case Administrator - Office of Hearing Officers
Financial Industry Regulatory Authority (FINRA)
Washington, DC, United States
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Description
We Work to Protect Investors. Join our Team.
The Financial Industry Regulatory Authority (FINRA) is seeking a well-qualified individual for our Case Administrator opening in Washington, DC. To be considered for this position, please submit your resume through our career site at www.finra.org/careers – no phone calls, please.
Job Summary:
This position applies analytical skills to various specific duties in support of the Office of Hearing Officers’ operations and functions, including assisting Hearing Officers, parties, and their counsel in adjudicatory proceedings. Principal functions include editing and proofreading complex legal writing.
Essential Job Functions:
• Proofreads and cite checks draft decisions, orders, and other documents prepared by the Hearing Officers; verifies facts from case records; ensures that final decisions and orders are in proper form and are properly served on the parties; circulates final decisions to appropriate FINRA departments.
• Prepares a variety of documents for the Hearing Officers, including notices, orders, and correspondence.
• Acts as liaison between parties and Hearing Officers to facilitate resolution of pre-hearing motions and requests, serving as a knowledgeable resource for information regarding the Office of Hearing Officers’ policies, procedures, programs, objectives, and operational functions.
• Monitors case deadlines and assists the Hearing Officers with effectively managing their case dockets, including monitoring their cases when they are away at hearings and consulting with the Chief Hearing Officer as necessary to determine if action must be taken.
• Manages docket of assigned cases, including maintenance of the official records of those proceedings and the Office of Hearing Officer’s electronic docket.
• Attends pre-hearing conferences and hearings at the discretion of the Hearing Officers to assist with the conduct of the hearing and the management of evidence.
• Assists with the selection and appointment of hearing panelists and with maintaining the Office of Hearing Officers’ electronic panel database.
• Receives, compiles, and organizes information for the preparation of various documents, including orders and decisions.
• Examines pleadings to ensure their accuracy, completeness, and legal sufficiency; contacts attorneys or parties if submitted pleadings and other documents do not comply with FINRA’s Code of Procedure or the Office of Hearing Officers’ procedures.
• Anticipates and resolves issues that may arise during the course of the case.
• Compiles statistical information and reports as required.
Qualifications
Education/Experience Requirements:
• Bachelor’s degree and either a paralegal certificate or three years’ experience as a Legal Assistant with FINRA or equivalent paralegal experience.
• Litigation or securities-related experience preferred.
• Essential skills include excellent writing, editing, planning, organization, and interpersonal communications.
Working Conditions:
• Work is normally performed in an office environment.
• Occasional travel may be required.
To be considered for this position, please submit a cover letter and resume. A writing sample may be required as part of the submission.
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/careersinto your browser to reach our site directly.
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 FINRA’s accommodation help line at 240.386.4865. Please note that this number is exclusively for inquiries regarding application accommodations.
In addition to a competitive salary, comprehensive health and welfare benefits, and incentive compensation, FINRA offers immediate participation and vesting in a 401(k) plan with company match. You will also be eligible for participation in an additional FINRA-funded retirement contribution, our tuition reimbursement program and many other benefits. If you would like to contribute to our important mission and work collegially in a professional organization that values intelligence, integrity and initiative, consider a career with FINRA.
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 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 Code’s investment and securities account restrictions, and new employees must comply with those investment restrictions—including disposing of any security issued by a company on FINRA’s Prohibited Company List or obtaining a written waiver from their Executive Vice President—by 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.
As standard practice, employees must also execute FINRA’s Employee Confidentiality and Invention Assignment Agreement without qualification or modification and comply with the company’s policy on nepotism.
About FINRA
FINRA is an independent, non-governmental regulator for all securities firms doing business with the public in the United States. FINRA works to protect investors and maintain market integrity in a public-private partnership with the Securities and Exchange Commission (SEC), while also benefiting from the SEC’s oversight. In its role as investor guardian, FINRA is informed, but not influenced, by the industry that it regulates. FINRA’s independent regulation plays a critical role in America’s financial system–all at no cost to taxpayers.
FINRA touches virtually every aspect of the securities business—from registering and educating industry participants to examining securities firms; writing rules; enforcing those rules and the federal securities laws; informing and educating the investing public; providing trade reporting and other industry utilities; and administering the largest dispute resolution forum for investors and registered firms. FINRA uses technology powerful enough to look across markets and detect potential abuses. Using a variety of data gathering techniques, we work to detect insider trading and any strategies firms or individuals use to gain an unfair advantage.
In today's fast-paced and complex global economy, FINRA is a trusted advocate for investors, dedicated to keeping the markets fair and proactively addressing emerging regulatory issues before they harm investors or the markets. FINRA operates from Washington, DC, and New York, NY, with other offices around the country.
Find out more about us and how we work—and view our current openings—at www.finra.org/careers.
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 and Affirmative Action Employer
All qualified applicants will receive consideration for employment without regard to age, citizenship status, color, disability, marital status, national origin, race, religion, sex, sexual orientation, gender identity, veteran status or any other classification protected by federal state or local laws as appropriate, or upon the protected status of the person’s relatives, friends or associates.
FINRA abides by the requirements of 41 CFR 60-741.5(a). This regulation prohibits discrimination against qualified individuals on the basis of disability, and requires affirmative action by covered prime contractors and subcontractors to employ and advance in employment qualified individuals with disabilities.
FINRA abides by the requirements of 41 CFR 60-300.5(a). This regulation prohibits discrimination against qualified protected veterans, and requires affirmative action by covered prime contractors and subcontractors to employ and advance in employment qualified protected veterans.
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