Legal Ops Subpoena Specialist

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GENERAL FUNCTION: Under minimal supervision, interpret, investigate and processes subpoenas served on the bank from attorneys, law enforcement, federal agencies and state agencies, requesting information relating to criminal, civil or other investigations, while ensuring the privacy of the confidential bank information, following applicable regulations and mitigating risk. Expected to provide accurate quality, respond within given time frame and provide courteous service to the agencies and professionals requesting information, and represents the bank to government agencies as well as the legal community at large. Individual should demonstrate ability to multitask, effectively identify potential risks to escalate when necessary, own issues through completion and to exceed service level expectations in every interaction.

Responsible and accountable for risk by openly exchanging ideas and opinions, elevating, concerns, and personally following policies and procedures as defined. Accountable for always doing the right thing for customers and colleagues and ensures that actions and behaviors drive a positive customer experience. While operating within the Bank's risk appetite, achieves results by consistently identifying, assessing, managing, monitoring, and reporting risks of all types

ESSENTIAL DUTIES & RESPONSIBILITIES:

• Analyze and Interpret legal language within subpoena to determine the scope, jurisdiction, timeframe, due date and proper service of the subpoena and to ensure that only legally requested records are released. Review subpoenas for any potential risk or liability for the bank to timely and effectively escalate when needed

• Process and comply high profile subpoenas that relates to matters such as Anti Money Laundering, Terrorist, criminal, Grand Jury and Federal requests.

• Effectively Identify and answer Federal Subpoenas in compliance with the Right To Financial Privacy Act

• Ensuring complete compliance with all Federal and State regulations and statutes

• Competently and frequently communicate with Attorneys, Federal and State Agencies and Law Enforcement Personnel to effectively negotiate and comply with the scope of summons and subpoenas, provides status of the request throughout the process, request extensions when necessary and provides notification when document production may exceed cost limitations outlined in the order

• Coordinate and facilitate with both internal and external legal counsel as assigned, to assist with responses to third party subpoenas.

• Provide expedited support to both internal and external legal counsel on a variety of litigation matters by locating any and all potentially responsive documentation

• Research, analyze and coordinate court appearance subpoenas for the Bancorp to determine if any documents may need to be provided and what type of personnel is needed for the court appearance. Determine if the appearance could result in risk or liability for the bank and escalate if needed

• Ensure strict confidentiality of information in all aspects of duties to mitigate operational, reputational, monetary and legal risk

• Ensures prompt and correct completion, maintain organization, storage, integrity, accuracy, and shipment of requested records in order to meet deadlines established within court order.

• Effectively organize and prioritize workflow of pending subpoenas by monitoring deadlines closely in order to minimize risk to the bank that would result with missed deadlines and/or court appearances

• Coordinate, facilitate and maintain strong working relationships with other lines of business in order to obtain documentation that is requested within a subpoena and is not immediately accessible to legal operations.

• This would include requests and research concerning mortgage, installment and commercial loan documentation, collateral files, signature cards, internet banking history, wire transactions, Automatic Clearing House (ACH) transactions, currency transaction reports (CTR),video surveillance, fraud documentation, Vendors, etc.

• Ensures ALL pertinent communications and transactions regarding subpoenas are recorded in the Legal Database that maintains all information for the entire department

• Prepares and sends invoices to requestors for copies and research time. This process requires giving advance notice to requestors of fees and also following up with requestors regarding outstanding fees