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Brown Brothers Harriman · 3 hours ago

Subpoena Analyst

New York, United States

Full-time

Onsite

Mid Level

$85K/yr - $110K/yr

4+ years exp

Brown Brothers Harriman (BBH) is a premier global financial services firm, known for premium service and specialist expertise. The Subpoena Analyst is responsible for managing requests for information related to subpoenas and legal processes, conducting analyses to identify potential concerns, and providing support to the Office of the General Counsel.

BankingFinancial ServicesSecurity

Responsibilities

Review all document requests served on BBH by law enforcement, regulators and third parties

Collect responsive internal information and documentation by searching through BBH's internal systems and working with colleagues in various departments

Analyze whether certain internal information should be precluded from any production

Prepare responsive document production for each request

Ensure a response is provided on time or, in the alternative, obtain an extension from the issuer

Maintain an internal tracking and record keeping system and supply metrics upon request

Assist in maintaining policies and procedures applicable to Subpoenas and Legal Process, and in sending periodic reminders to all BBH employees

Conduct an analysis on each document request received to identify potential AML or sanctions concerns or other issues

Refer matters that may warrant an investigation/SAR filing to AML Compliance

Document analysis and conclusion and maintain clear records on matters that were reviewed and escalated

Assist and provide dedicated support to BBH's Senior AML/Sanctions Legal Counsel in conducting research and reviewing a variety of issues related to money laundering, terrorist financing, and sanctions obligations, and in preparing certain training materials

Assist the Litigation and Legal Process Group with issuing and tracking legal holds

Fulfill dedicated roles pertaining to records management and data destruction for the Legal Process Group

Serve as investigative analyst for other members of the OGC on an as needed basis and where time permits

Qualification

Investigative skillsAML compliance experienceDocument analysisKYC systemsProficiency with ExcelMulti-taskOrganizational skillsWritten communicationOral communicationAttention to detail

Required

BA/BS Degree

Strong investigative and analytical skills

Strong organizational skills

Strong written and oral communication skills

Capable of executing a range of complex tasks and analyses

Ability to multi-task and attention to detail

Ability to handle confidential/privileged information

Proficiency in systems maintained by financial institutions (e.g. KYC systems, surveillance monitoring systems, and various legal hold and case management systems)

Proficiency with Excel, Word, PowerPoint, and litigation search tools