Paralegal / Neutral Management Specialist – Neutral Management

Job Description

Paralegal / Neutral Management Specialist | Randstad Enterprise

The Tone:
This is a Paralegal / Neutral Management Specialist role at Randstad Enterprise, located in New York City with a hybrid work schedule of three days in the office. Randstad Enterprise operates within an environment that requires careful review and compliance, and this role is critical to maintaining the integrity and adherence to regulatory standards for arbitrator applications. This position directly contributes to the quality assurance of our neutral management processes, ensuring that all arbitrators meet the necessary criteria for classification under FINRA rules.

The TL;DR
• Role: Paralegal / Neutral Management Specialist
• Location: Hybrid, New York City

• Mission: To perform management-level review and determine the classification of arbitrator applications according to FINRA rules, making recommendations for approval or denial.

What You’ll Actually Do
• Manage Application Review: Conduct a thorough management-level review of all arbitrator applications, building upon the initial processing completed by administrative staff to ensure accuracy and compliance.
• Verify Administrative Work: Scrutinize and verify the administrative staff’s initial processing of applications, identifying any discrepancies or areas requiring further investigation before proceeding with the deeper analysis.
• Conduct Comprehensive Analysis: Perform an in-depth analysis of the applicant’s supplied information, integrating findings from detailed background checks, CRD data, and extensive Internet searches to form a holistic profile.
• Determine FINRA Classification: Utilize detailed research and understanding of regulatory requirements to determine whether each applicant can be appropriately classified under current FINRA rules and guidelines.
• Formulate Recommendations: Develop clear, evidence-based recommendations for an external review board regarding the final approval or denial of each arbitrator application, based on the comprehensive review and FINRA classification determination.

The Must-Haves
• Background: This Paralegal / Neutral Management Specialist role requires a strong understanding of legal processes and regulatory compliance, particularly concerning application review and classification. The individual will be operating at a management review level, ensuring adherence to established guidelines.
• Experience: Demonstrated experience in analyzing complex information sets and applying regulatory rules is essential for this review-focused position. Prior experience that involves verifying administrative work and making significant determinations based on detailed investigations will be highly beneficial.
• Skills: Key skills include meticulous information analysis, the ability to interpret and apply regulatory frameworks such as FINRA rules, strong critical thinking for classification determination, and clear, concise communication for formulating recommendations.
• Bonus: A Juris Doctor (JD) degree is strongly preferred, as is some specific experience in statutory interpretation. Additionally, a background or familiarity with securities arbitration processes would be particularly helpful for success in this specialized role.