Legal Processing Specialist Senior

City National Bank • Los Angeles, CA

14d • $55,000 - $88,000

About The Position

Strong knowledge and experience in reviewing, evaluating, and processing all forms of compulsory legal process received by CNB and its subsidiaries and affiliates. Compulsory legal process includes, but is not limited to, subpoenas, search warrants, levies, writs, garnishments, summonses, and complaints. Must have advanced / strong knowledge of the use of Safari SOP and/or ServePort, which are the cloud-based service of process intake portals used by CNB and its subsidiaries and affiliates to handle incoming compulsory legal process. Responsible for supporting the Legal Processing Specialist Lead in ensuring an efficient and even distribution and allocation of the thousands of compulsory legal orders received annually by CNB and its subsidiaries and affiliates. In addition, assists in managing the end-to-end process of executing compulsory legal orders, and mentors and trains the Legal Processing Specialist in handling the above listed responsibilities. Must have advanced knowledge of the operational, financial, and reputational risk inherent in handling compulsory legal process, and must stay vigilant in working to mitigate and eliminate that risk to the greatest degree possible. Key responsibilities of the position are the timely and accurate processing of all manner of legal order documentation. Must work with attorneys, litigation paralegals, and law clerks in the Legal Services Division, CNB's outside legal counsel, regulatory and law enforcement agencies, and attorneys representing third parties to interpret and process multiple forms of compulsory legal orders, respond to inquiries, and resolve problems.

Requirements

• Bachelor's Degree or equivalent
• 3+ years of compliance or banking operations experience required,
• 2+ years of compulsory legal order processing
• 3+ years of general office or accounting experience required. This may be the same 3-year period as the experience in compliance or banking operations.
• Must be able to work accurately and effectively in a fast-paced environment. Must have the ability to multi-task and meet tight deadlines imposed by courts, law enforcement and regulatory agencies, and private parties in litigation.
• Must have advance/ strong working knowledge of, and relevant experience in, handling all manner of incoming compulsory legal process, at a company or institution that (like CNB) receives thousands of such legal orders annually.
• Exercise good judgment and decision-making in processing legal orders that can often affect millions of dollars in client accounts, as well as client privacy.
• Must be able to vigilantly and diligently process incoming legal orders that can expose CNB to millions of dollars in financial and operational risk, as well as reputational risk. Must be able to read, interpret, and understand legal documents carrying the force of law.
• Must be able to scrupulously exercise discretion in keeping confidential incoming legal orders, in compliance with CNB policies and procedures as well as BSA, OFAC, and applicable regulatory requirements.
• Must stay up to date on legal and regulatory changes affecting compulsory legal process, including by attending and participating in annual training presented by attorneys and sponsored by the Bankers’ Compliance Group.

Responsibilities

• Contributes to the Legal Processing team by mentoring and training the Legal Processing Specialist in the processing of all forms of compulsory legal process.
• Supports the Legal Processing Specialist Lead in managing the end-to-end process of executing compulsory legal orders. Serves as liaison between the Legal Processing Specialist Lead, the Legal Processing Specialist, and attorneys, paralegals, and law clerks on all issues relating to the processing of compulsory legal orders.
• Works closely with technical specialists at CNB T&I in managing the cloud-based service of process intake portals to ensure smooth and consistent functionality of the portals with regard to the processing of levies, garnishments, writs, freeze orders, and all manner of compulsory legal process that commands the holding and/or remitting of funds in client accounts.
• Responsible for processing subpoenas, search warrants, national security letters, summonses, complaints, and many other forms of compulsory legal process. This includes, but is not limited to, executing commands in Safari SOP and/or ServePort; conducting research on bank systems to determine the existence, non-existence, and scope of client records responsive to the compulsory legal orders; notifying appropriate CNB colleagues of the receipt of various kinds of compulsory legal process; maintaining secrecy and confidentiality required by applicable federal and state laws, regulations, and CNB policies and procedures; interacting with attorneys and regulatory agencies to determine and negotiate the production and due dates of responsive records; using Safari SOP to produce responsive records; and charging the correct legal processing fees to issuers of compulsory legal process.
• Responsible for processing levies, garnishments, writs, freeze orders, and all manner of compulsory legal process that commands the holding and/or remitting of funds in client accounts. This includes, but is not limited to, evaluating the scope of the legal orders; executing commands in Safari SOP to query clients and account balances potentially within the scope of the legal orders; executing commands in Safari SOP to place holds on, and remit, subject funds; mitigating risk by implementing the legal orders accurately pursuant to their terms, without exceeding or understating their scope; and responding to valid demands for information from creditors, their attorneys, and government law enforcement and regulatory agencies.
• Works with in-house and outside counsel for CNB and its subsidiaries and affiliates, and also with outside consultants and document reviewers retained by CNB, in evaluating and producing records in discovery in cases where CNB or a subsidiary or affiliate is a party. Works with and consults other Legal Services Division colleagues, including attorneys and litigation paralegals, with regard to the responsiveness of existing records to Requests for Production, Interrogatories, Requests for Admission, and other forms of discovery demands. Works with in-house and outside counsel, outside consultants, and document reviewers to ensure compliance with court-issued protective orders, as well as with applicable laws, regulations, and CNB policies relating to privacy and confidentiality.

Benefits

• Comprehensive healthcare coverage, including Medical, Dental and Vision plans, available the first of the month following start date
• Generous 401(k) company matching contribution
• Career Development through Tuition Reimbursement and other internal upskilling and training resources
• Valued Time Away benefits including vacation, sick and volunteer time
• Specialized health and family planning benefits including fertility benefits, and cancer, diabetes and musculoskeletal support programs
• Career Mobility support from a dedicated recruitment team
• Colleague Resource Groups to support networking and community engagement

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level