Principal Policy Advisor, Dispute Resolution

The Principal Policy Advisor supports case administration and the National Arbitration program for FINRA Dispute Resolution Services (DRS).
Please note: Law Degree is Ideal for this role!

Essential Job functions:


* 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.

Education/Experience Requirements:



* Bachelor’s degree and a minimum of seven years of related experience working in a professional legal environment.


* Law Degree preferred.


* Familiarity with FINRA rules relating to arbitration preferred.


* 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 effectiv...