Case Specialist, Dispute Resolution

FINRA

. Perform case intake, including preparing cases for service by analyzing initial pleadings for jurisdiction and conformity with requirements .

Posted 10/6/2026full-timeUnited StatesJunior💰 $30 - $64 per hourWebsite

Core Competencies

Role fit

Core Competencies

Use this summary to align your resume positioning with the role.

Demonstrates expertise in case intake and processing, including drafting deficiency notices and analyzing claims. Proficient in customer service and communication, with a strong understanding of FINRA regulations and electronic docket management systems.

Highest-signal resume keywords

Case Intake AnalysisFINRA Regulations ComplianceElectronic Docket ManagementCustomer Service SkillsWritten And Verbal Communication

ATS Keywords

Tailor your resume

Applicant Tracking System Keywords

Tip: use these terms in your resume and cover letter to boost ATS matches.

Hard Skills

Case ProcessingClaims AnalysisDrafting Deficiency NoticesFinancial ReviewFee Waiver Assessment

Soft Skills

Interpersonal SkillsCustomer ServiceCollaborationPublic Speaking

Tools & Technologies

ODR PortalElectronic Docket Management SystemsOffice Applications

Industry Keywords

FINRACode Of Arbitration ProcedureArbitration PoliciesInvestor ProtectionMarket Integrity

About the role

Key responsibilities & impact

Perform case intake, including preparing cases for service by analyzing initial pleadings for jurisdiction and conformity with requirements
Process initial claims, including drafting deficiency notices and re-servicing claims when necessary
Analyze and process answers, counterclaims, cross-claims, and third-party claims
Monitor case-related reports and meet required service level agreements
Maintain the motions calendar, solicit responses, and prepare documentation for arbitrators
Recommend administrative motions and process substantive issues for panel decisions with assistance
Assess applicable fees and make written recommendations on fee waiver requests
Review arbitrator challenges, solicit responses, and recommend decisions to management
Ensure FINRA fees are assessed and billed according to the Code of Arbitration Procedure
Conduct financial reviews of settled and withdrawn cases and hearing awards, and close cases within expected timeframes
Review incoming submissions and take appropriate action
Determine panel composition, generate arbitrator lists, review conflicts, and eliminate conflicted arbitrators
Replace unavailable arbitrators and process revised or additional lists
Use the ODR Portal and internal electronic docket management systems
Provide customer service and respond to inquiries about FINRA arbitration policies, pleadings, case status, fees, and the ODR Portal
Maintain electronic and physical files and enter case information in the case processing system
Prioritize work with management oversight
Demonstrate FINRA’s values and collaborate in person and virtually to further investor protection and market integrity
Perform additional duties as required, including presentations and public speaking

Requirements

What you’ll need

Bachelor’s degree and 1 year of related experience or equivalent combination of education and experience
Expertise using a desktop computer with the full suite of electronic office applications and other office equipment
Familiarity with electronic docket management programs and web-based Portal systems is a plus
Excellent customer service skills
Strong interpersonal skills
Excellent written and verbal communication skills
Ability to occasionally travel
Ability to work some overtime
Ability to comply with FINRA’s Code of Conduct, investment restrictions, and financial disclosure requirements
Ability to execute FINRA’s Employee Confidentiality and Invention Assignment Agreement without qualification or modification
Ability to comply with the company’s policy on nepotism

Benefits

Comp & perks

Discretionary bonus eligibility
Overtime pay eligibility for non-exempt employees
Comprehensive health, dental and vision insurance
Basic life, accidental death and dismemberment, supplemental life, spouse/domestic partner and dependent life insurance
Spouse/domestic partner and dependent accidental death and dismemberment insurance
Short- and long-term disability insurance
Long-term care insurance
Business travel accident insurance
Legal insurance
Immediate participation and vesting in a 401(k) plan with company match
Eligibility for an additional FINRA-funded retirement contribution
Tuition reimbursement
Commuter benefits
Adoption assistance
Backup family care
Surrogacy benefits
Employee assistance
Wellness programs
15 days of paid time off, increasing with years of service up to 25 days
5 personal days
9 sick days
2 volunteer service days
Military leave
Jury duty leave
Bereavement leave
Voting and election official leave
Care of a family member leave after 90 days of employment
Childbirth and parental leave after 90 days of employment
9 paid holidays for full-time employees
Hybrid work environment with limited work-from-home opportunity depending on business needs