Case Administrator

This position performs a variety of specific duties in support of the Office of Hearing Officers’ operations and functions, including applying analytical skills to assist the Hearing Officers and the parties and their counsel in adjudicatory proceedings.

Essential Job Functions

• Manages docket of assigned cases, including maintenance of the official records of those proceedings and the Office of Hearing Officer’s electronic docket.
• Receives, compiles, and organizes information for the preparation of various documents, including orders and decisions.
• 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 and Deputy Chief Hearing Officer as necessary to determine if action must be taken.
• 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.
• Anticipates and resolves issues that may arise during the course of the case.
• Prepares a variety of documents for the Hearing Officers, including notices, orders, and correspondence.
• Proofreads and cite checks draft decisions, orders, and other documents prepared by 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.
• Examines pleadings to ensure their accuracy and completeness; 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.
• Attends pre-hearing conferences and hearings to assist with the conduct of the hearing and the management of evidence.
• Compiles statistical information and reports as required.
• Participates in special projects at the request of the Case Administrator Manager, the Chief Hearing Officer, or the Deputy Chief Hearing Officer.
  
  

Other Responsibilities

• Additional responsibilities as assigned.
  
  

Education/Experience Requirements

• Bachelor’s degree and paralegal certificate required, and five years’ paralegal experience, or equivalent combination of education and experience.
• Litigation or securities-related experience preferred.
  
  

2

• Strong writing and research skills, as well as experience with legal research databases and cite-checking.
• Strong planning and organization skills, as well as excellent interpersonal and written communication skills required.
• Proficiency with Microsoft software applications.
• Knowledge of SEC and FINRA Rules helpful.
  
  

Working Conditions

• Work is performed in a hybrid environment.
• Occasional travel required.
• Extended hours as needed.
  
  

#DICE

#Indeed

#Hybrid