Attorney in Los Angeles, CA

Public Interest

Los Angeles, CA

Attorney in Los Angeles, CA

Non-practicing Attorney

Min 7 yrs required

No

H1: Principal Analyst, Dispute Resolution - Full Time - FINRA
H2: Essential Job Functions

- Develop and implement policies for FINRA's arbitration program
- Advise regional offices on case administration issues
- Conduct staff training on new rules and procedures
- Update FINRA publications related to arbitration process
- Serve as subject matter expert on various matters
- Track payment of arbitration awards and administer expedited suspension proceedings
- Manage arbitration claim intake process
- Respond to complaints about arbitration processes
- Prepare reports and correspondence for senior management and SEC
- Participate in conferences and meetings to educate key groups about FINRA's dispute resolution forum
- Respond to SEC, Internal Audit, and Ombudsman requests and inquiries
- Coordinate with other FINRA departments on overlapping issues
- Ensure compliance with FINRA's Records Procedures and Information Privacy and Protection Policy

H2: Education/Experience Requirements

- Bachelor's degree and 7+ years of related experience in a professional legal environment
- Law degree preferred
- Familiarity with FINRA rules relating to arbitration preferred
- Strong analytical and decision-making skills
- Advanced knowledge and organizational skills related to project management
- Strong leadership and communication skills
- Ability to interact diplomatically and professionally with various levels of staff and management

H2: Work Conditions

- Hybrid work environment (remote/in office)
- Occasional travel and extended work hours may be required

H2: Salary Information

- Salary ranges vary based on location and other factors
- Minimum salary ranges from $95,300 to $114,300
- Maximum salary ranges from $171,800 to $206,200

H2: Important Information

- FINRA's Code of Conduct imposes restrictions on employees' investments and requires financial disclosures
- Employees must also execute FINRA's Employee Confidentiality and Invention Assignment Agreement and comply with the company's policy on nepotism

H2: Time Off and Paid Leave

- 15 days of paid time off, 5 personal days, and 9 sick days (pro-rated in first year)
- 2 volunteer service days
- Other paid leave includes military leave, jury duty leave, bereavement leave, voting and election official leave, care of a family member leave, and childbirth and parental leave
- Full-time employees receive 9 paid holidays

H2: Search Firm Representatives

- FINRA is not accepting unsolicited resumes from search firms for this employment opportunity
- A valid written agreement and task order must be in place before any resumes are submitted to FINRA

H2: Equal Opportunity Employer

- All qualified applicants will receive consideration for employment without regard to age, citizenship status, color, disability, marital status, national origin, race, religion, sex, veteran status, or any other classification protected by federal, state, or local laws
- FINRA abides by the requirements of 41 CFR ) and 41 CFR ) which prohibit discrimination against qualified individuals with disabilities and protected veterans, respectively
- FINRA is an equal opportunity employer and strives to make our career site accessible to all users

H2: Application Process

- To be considered for this position, please submit an application
- Applications are accepted on an ongoing basis

H2: About FINRA

- FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc.
- FINRA is dedicated to providing comprehensive health and wellness benefits to its employees, including health, dental, and vision insurance, life and disability insurance, and retirement contributions
- FINRA also offers time off and paid leave, including 15 days of paid time off, 5 personal days, and 9 sick days, as well as 2 volunteer service days
- Employees may also be eligible for a discretionary bonus and overtime pay
- FINRA is committed to employee wellness and offers various benefits to support this, such as adoption assistance, backup family care, surrogacy benefits, employee assistance, and wellness programs