Associate Regional Manager, Dispute Resolution

Financial Industry Regulatory Authority, Inc.
New York
Jan 05, 2023
Jan 28, 2023
Contract Type
This position performs a variety of specific duties, including supervising clerical and logistical staff, overseeing workflow, and monitoring compliance with established service level agreements.

This is competent–level professional work in which the incumbents are fulfilling their assigned roles, applying their job skills and working under limited supervision

Essential Job Functions:

  • Supervises all processing center clerical, logistical and filing staff.
  • Discusses performance issues with staff.
  • Writes staff performance evaluations and makes recommendations on promotions, salary increases, and incentive compensation.
  • Sets work assignments and establishes a periodic rotation of the assignments.
  • Monitors processing center's workflow and productivity.
  • Monitors compliance on all established service level agreements.
  • Reviews NLSS, Craftis and management reports and follow up to ensure staff addresses any overdue items.
  • Monitors the quality of the filing and ensures that documents are filed in a timely manner following established filing procedures.
  • Oversees the cross training of the clerical, logistical and filing staff so they can serve as backups when needed.
  • Monitors and establishes procedures to ensure that all paneling is completed in a timely manner.
  • Conducts capacity modeling on a regular basis.
  • Coordinates with Case Assistant Manager and Case Administration Manager to address issues, potential problems and adjust procedures.

Education/Experience Requirments:

  • Seven years supervisory experience and some arbitration, legal or securities–related experience preferred; or Bachelor's degree and five years supervisory experience and some arbitration, legal or securities–related experience preferred; or five years experience as a Senior Case Assistant with three years supervisory experience; or three years experience as a Case Administrator with two years supervisory experience.
  • Excellent interpersonal and written communication skills.

Work Conditions:

  • Work is normally performed in an office environment.
  • Occasional travel may be required.

The salary for this position if the work is performed in New York, New York isa minimum of

$89,500 annually to a maximum of $160,300 annually; actual compensation is based on various factors, including but not limited to, the candidate's skill set, level ofexperience, education and internal peer compensationcomparisons.

To be considered for this position, please submit an application.

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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Employees may be eligible for a discretionary bonus in addition to base pay. FINRA also provides a variety of benefits including comprehensive health and welfare benefits, life and disability insurance, paid holidays, vacation, personal, and sick leave. FINRA offers immediate participation and vesting in a 401(k) plan with company match. You will also be eligible for participation in an additional FINRA–funded retirement contribution, our tuition reimbursement program and many other benefits. If you would like to contribute to our important mission and work collegially in a professional organization that values intelligence, integrity and initiative, consider a career with FINRA.

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 is an Equal Opportunity and Affirmative Action Employer

All qualified applicants will receive consideration for employment without regard to age, citizenship status, color, disability, marital status, national origin, race, religion, sex, sexual orientation, gender identity, veteran status or any other classification protected by federal state or local laws as appropriate, or upon the protected status of the person's relatives, friends or associates.

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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