7 yrs required
Boca Raton, FL, United States
Apr 21, 2020
Manage and oversee mediation operations. Increase the number of securities related disputes settled through mediation, thereby increasing customer and industry satisfaction by facilitating efficient resolution of disputes
Essential Job Functions:
Mediation Program Administration
• Direct oversight of mediation program nationally including cases in which the parties agree to mediate directly and arbitration converted cases. Answer questions about the mediation process and make decisions about eligibility of requests.
• Develop and implement FINRA Dispute Resolution case administration policies and practices.
• Identify national recruitment needs and seek a diverse roster of qualified mediators. Oversee the mediator application process to ensure that new applications are processed efficiently and in a consistent manner and mediator candidates are screened for proper qualifications. Coordinate application approval through the NAMC Mediation Subcommittee
• Provide opportunities for new mediators to connect with seasoned mediators for a mentoring relationship and assist with scheduling mediation observations or co-mediation of FINRA cases.
• Oversee marketing and outreach plan for mediation aspects of the forum as well as for special mediation events and programs.
• Design and recommend special mediation programs to meet the needs of our constituents associated with resolving groups of cases or special situations, including conducting cost/benefit analysis and pricing adjustments.
• Oversee communications with the mediator roster including preparing notifications by email and for the external website on the Mediator Annual Fee, Portal usage, and general notifications about upcoming programs or new procedures.
• Respond to inquiries from DR management, attorneys, DR staff, neutrals, and parties regarding issues surrounding the mediation process, complaints, or procedural problems.
• Prepare reports on mediation and special programs for DR management, NAMC, and DR Board.
• Evaluate all mediators periodically and, if needed, make recommendations to remove mediators from roster.
• Serve as Department liaison with the Finance, Corporate Communication, DR Technology, Case Administration, and Neutral Management departments to coordinate services as needed.
• Oversee mediation accounts and budgets. Maintain and recommend enhancements of technology systems and applications to better support mediation.
• Regularly connect with regional arbitration staff to promote use of mediation through our program and provide training on the mediation process. Train mediation and arbitration staff on new Mediation Rules and procedures affecting overall operations.
• Develop and prepare statistical analyses of mediation services and results of special projects as required.
• Assist in ensuring uniform and consistent administrative policies and excellent customer services by (but not limited to): the analysis of customer service surveys, and review of administrative management reports.
• May supervise Mediation Case Administrator
Mediation Case Administration
• Case administration of both arbitration converted cases and cases in which the parties agree to mediate first. Determine mediating parties, assess fees, and negotiate conditions to mediate.
• Conduct regular solicitation of the parties in active arbitration cases through a variety of outreach methods to introduce the mediation alternative. Use reports to recognize filing trends and identify multiple party cases. Monthly, determine cases nearing arbitration final hearing dates to encourage mediation. Market special mediation programs such as Mediation Settlement Month. Communicate with frequent users of our forum to encourage mediation on a regular basis.
• Report monthly statistical information on mediation activity in the regions using a shared Department database. Maintains this information in a shared Department database and sends monthly updates to DR Infrastructure for purposes of reporting statistics on our external website.
• Assist with other projects as assigned by management.
• Law degree or advanced degree in management or dispute resolution preferred. Seven (7) years legal, diverse dispute resolution and management experience.
• Excellent interpersonal and written communication skills.
• Presentation and promotional experience preferred. Securities industry and FINRA experience preferred.
• Normal office conditions. Must be available to travel and make presentations.