Senior Case Coordinator, Dispute Resolution

About the position This position appoints arbitrators to arbitration cases, schedules/reschedules pre-hearing conferences and hearings, and performs a wide variety of tasks such as generating memos and correspondence, maintaining electronic files, and setting up hearing rooms. This is skilled administrative work in which incumbents are experienced and proficient in their assigned roles; are able to independently prioritize their work; are able to handle routine matters independently and complex matters with limited supervision; and are able to work under limited supervision. Essential Job Functions: Generates, mails and/or publishes memos to the Dispute Resolution Services (DRS) Portal. Receives lists of arbitrators from parties, enters rankings in database, consolidates and/or extends lists as necessary. Properly documents reasons for arbitrator changes to case lists such as withdrawals and/or requests for removal. Contacts arbitrators to serve on cases. Appoints and/or replaces arbitrators to cases, following established procedures. As assigned, determines proper composition of arbitration panel, generates list of arbitrators, reviews arbitrator information for conflicts, and removes arbitrators from lists, as needed. Sends arbitrator lists to parties and makes ranking available through the DRS portal. Coordinates, schedules, and notifies parties and arbitrators of the date and time of conference calls and hearings. Coordinates and schedules in person and video conferences and updates the case to reflect the conference information. Attends prehearing conferences and hearings, as assigned. Processes party agreements to opt-out of IPHC. Processes requests to postpone hearings, reschedules hearings, as necessary, and assesses applicable postponement fees. Maintains electronic and physical files in accordance with established procedures. Files and/or scans correspondence promptly and prepares files for storage. Inputs written case notes and hearing dates into case processing system. Submits reservation requests for off-site hearings and coordinates with meetings team for changes or cancelations. Maintains digital recording files. Tracks hearing exhibits, recordings, and transcripts and follows up with arbitrators and parties as needed. Completes form to approve arbitrator travel through ADTRAV. Answers general questions from constituents, parties, and arbitrators. Processes incoming emails from central inbox and case management system, as needed. Reviews and processes incoming Arbitrator Oaths and follows up when necessary. Processes IPHC Orders and follows up when necessary. Close conference calls and pay arbitrators. Processes pre-hearing briefs, witness and exhibit lists. Processes physical checks. Processes arbitrator expense reports for submission to Finance. Cross-trains on Reception Coordinator, Case Coordinator, Case Specialist job functions and performs them as needed. Trains and provides guidance to staff, as needed. Serves as a role model and subject matter expert for staff in the department. Demonstration of FINRA’s values. Collaboration, both in-person and virtually, in furtherance of FINRA’s mission of investor protection and market integrity. Other Responsibilities: Additional duties as required by management, including Presentations.

Responsibilities

• Generates, mails and/or publishes memos to the Dispute Resolution Services (DRS) Portal.
• Receives lists of arbitrators from parties, enters rankings in database, consolidates and/or extends lists as necessary.
• Properly documents reasons for arbitrator changes to case lists such as withdrawals and/or requests for removal.
• Contacts arbitrators to serve on cases.
• Appoints and/or replaces arbitrators to cases, following established procedures.
• As assigned, determines proper composition of arbitration panel, generates list of arbitrators, reviews arbitrator information for conflicts, and removes arbitrators from lists, as needed.
• Sends arbitrator lists to parties and makes ranking available through the DRS portal.
• Coordinates, schedules, and notifies parties and arbitrators of the date and time of conference calls and hearings.
• Coordinates and schedules in person and video conferences and updates the case to reflect the conference information.
• Attends prehearing conferences and hearings, as assigned.
• Processes party agreements to opt-out of IPHC.
• Processes requests to postpone hearings, reschedules hearings, as necessary, and assesses applicable postponement fees.
• Maintains electronic and physical files in accordance with established procedures.
• Files and/or scans correspondence promptly and prepares files for storage.
• Inputs written case notes and hearing dates into case processing system.
• Submits reservation requests for off-site hearings and coordinates with meetings team for changes or cancelations.
• Maintains digital recording files.
• Tracks hearing exhibits, recordings, and transcripts and follows up with arbitra

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