Docket Manager, Office of Hearing Officers

• Manages OHO docket to ensure filings are in compliance and adhere to confidentiality requirements including maintenance of official records electronic docket databases and OHO calendars. Partners with OHOs Technology Analyst and FINRAs Technology Department to troubleshoot systems problems with the processing of case-related data.
• Performs triage in OHO Docket Portal for all party filings.
• Handles requests from Internal Audit and SEC by analyzing case-related documents such as decisions and drafting responses in collaboration with key stakeholders such as the Oversight Liaison and Counsels Office (OLC).
• Participates in training case administrators on OHO docket compliance databases and records.
• Manages and oversees reports for distribution to FINRA senior management FINRAs Board and Committees and other FINRA departments such as the Credentialing Registration Education and Disclosure (CRED) group.
• Compiles statistical information and reports as required for the Chief Hearing Officer (CHO) the Deputy Chief Hearing Officer (DCHO) and the Case Administrator Manager to assist with monitoring OHO cases.
• Ensures accuracy and deadlines of case filings; reports to the CHO and DCHO as necessary when action is required.
• Communicates directly with FINRA key stakeholders such as parties counsel and industry members serving as hearing panelists on OHO case-related matters. Trains OHO staff and external stakeholders on the department docketing program.
• Collaborates with OHOs Hearing Panelist Program Manager to ensure that all industry panelists are fully supported. Provides assistance to industry panelists including but not limited to:
  • researching accessing and updating case-related documents in OHOs electronic docketing program;
  • ensuring compliance with required OHO procedures and policies and submission of required certifications;
  • managing calendars to reflect availability to serve on hearings; and
  • performing finance and accounting duties for expense reimbursements and payment of honorariums in connection with OHO hearings.
• Leverages an in-depth working knowledge and understanding of procedural rules and requirements in connection with processing OHO cases.
• Demonstrates FINRAs values.
• Collaboratesbothin-personandvirtuallyinfurtheranceofFINRAsmissionofinvestorprotectionandmarketintegrity.

Other Responsibilities:

• Provides coverage for case administrator responsibilities as needed.

• Participates in special projects at the request of the CHO or the DCHO.

• Coordinates OHOs technical and administrative needs with responsible FINRA offices.

Education/Experience Requirements:

• Bachelors degree and eight (8) years of experience in adjudicatory services or similar litigation-related experience; or an equivalent combination of education and experience.

• Paralegal certificate and at least six (6) years of equivalent paralegal experience.

• Extensive knowledge of court rules and procedures.

• Experience working with electronic dockets or PACER systems preferred.

• Proficiency with Microsoft Office applications such as Word Excel and PowerPoint as well as experience utilizing travel and expense systems such as Concur. Must possess ability to learn new software and operating systems as needed.

• Experience providing support at a senior level involving the high-level exercise of judgment.

• Detailed oriented with strong organizational and planning skills with a proven record of managing and delivering high value complex projects on schedule and to high quality standards.

• Excellent interpersonal and written communication skills required.

• Ability to work well independently as well as effectively within a team.

• Some experience with FINRA proceedings preferred.

Working Conditions:

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

• Work outside of business hours and some travel may be required.

For work that is performed in 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 addition to location actual compensation is based on various factors including but not limited to the candidates skill set level of experience education and market considerations.

CO/FL/TX: Minimum Salary $97700 Maximum Salary $176100

IL/PA: Minimum Salary $107500 Maximum Salary $194100

MA/MD/VA/Washington DC: Minimum Salary $112300 Maximum Salary $202500

NY/NJ: Minimum Salary $112300 Maximum Salary $211400

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.

Please note: If the Apply Now button on a job board posting does not take you directly to the FINRA Careers site enter into your browser to reach our site directly.

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

FINRAs 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 Codes investment and securities account restrictions and new employees must comply with those investment restrictionsincluding disposing of any security issued by a company on FINRAs Prohibited Company List or obtaining a written waiver from their Executive Vice Presidentby 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 FINRAs Employee Confidentiality and Invention Assignment Agreement without qualification or modification and comply with the companys 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 Employer

All qualified applicants receive consideration for employment without regard to any legally protected category including race color age national origin ethnicity religion disability genetic information military or veteran status sex or any other status or classification protected by state or local law.

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 FINRAs Employee Relations team at or by email at . Please note that this process is exclusively for inquiries regarding accommodations in the application process.

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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