Principal Policy Advisor, Dispute Resolution

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.
• Demonstration of FINRA’s values.
• Collaboration, both in-person and virtually, in furtherance of FINRA’s mission of investor protection and market integrity.

• 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 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.

• Hybrid work environment, with defined in-person presence requirements.

• Occasional travel and extended work hours may be required.

For work that is performed in Los Angeles and San Francisco, CA, CO, FL, TX, IL, PA, MA, MD, VA, Washington, DC, NY and NJ, please refer to the chart below for the salary range for the corresponding location. FINRA complies with all state and local pay transparency laws and regulations requiring the disclosure of salary ranges for the position. In addition to location, actual compensation is based on various factors, including but not limited to, the candidate’s skill set, level of experience, education, and market considerations. 

Los Angeles, CA: Minimum Salary $112,300 , Maximum Salary $147,436

San Francisco, CA: Minimum Salary $117,200, Maximum Salary $153,846

CO/FL/TX: Minimum Salary $95,300, Maximum Salary $171,800

IL/PA: Minimum Salary $104,900, Maximum Salary $189,400

MA/MD/VA/Washington, DC: Minimum Salary $109,600 Maximum Salary $197,600

NY/NJ: Minimum Salary $109,600, Maximum Salary $206,200

#LI-Hybrid

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

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.

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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 Employee Relations team at 240.386.4865 or by email at [email protected]. Please note that this process is exclusively for inquiries regarding application accommodations. 

Employees may be eligible for a discretionary bonus in addition to base pay. Non-exempt employees are also eligible for overtime pay in accordance with federal, state, or local law. As part of its dedication to employee wellness, FINRA provides comprehensive health, dental and vision insurance. Additional insurance includes basic life, accidental death and dismemberment, supplemental life, spouse/domestic partner and dependent life, and spouse/domestic partner and dependent accidental death and dismemberment, short- and long-term disability, long-term care, business travel accident, disability and legal. FINRA offers immediate participation and vesting in a 401(k) plan with company match and eligibility for participation in an additional FINRA-funded retirement contribution, tuition reimbursement, commuter benefits, and other benefits that support employee wellness, such as adoption assistance, backup family care, surrogacy benefits, employee assistance, and wellness programs.

Time Off and Paid Leave*

FINRA encourages its employees to focus on their health and wellness in many ways, including through a generous time-off program of 15 days of paid time off, 5 personal days and 9 sick days, unless otherwise required by law (all pro-rated in the first year). Additionally, we are proud to support our communities by providing two volunteer service days (based on full-time schedule). Other paid leave includes military leave, jury duty leave, bereavement leave, voting and election official leave for federal, state or local primary and general elections, care of a family member leave (available after 90 days of employment); and childbirth and parental leave (available after 90 days of employment). Full-time employees receive nine paid holidays.

*Based on full-time schedule

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.

You can read more about these restrictions here.

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.

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 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 Employee Relations team at 240.386.4865 or by email at [email protected]. Please note that this process is exclusively for inquiries regarding application accommodations.

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 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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