Banking Services Operations Associate V - Legal Document - Subpoena

Responds to subpoena requests or any other legal request for financial records.  Participates in projects, training and miscellaneous team reporting.  Completes analyses of commercial loan files, audits and reviews.

• Analyze routine to complex legal requests to understand and determine scope of request and ensure necessary (Federal and State) requirements are met.
• Communicate and negotiate with serving attorney or agency to clarify documentation scope and required due date.
• Complete research and inquiries on several Bank systems with customer information to identify type of relationship and where relevant responsive information is held.
• Work with several internal departments to compile records and ensure a full understanding of the entire customer relationship and request so all needed documentation is produced.
• Respond to legal paper within designated timeframes by providing copies of requested Bank records along with affidavit of authenticity.
• Coordinate appearances with Legal and other Bank representatives needing to appear in court and provide testimony in response to subpoenas.
• Maintain records of all pertinent information related to the legal paper for audit purposes, following-up as needed to keep serving agency and internal departments informed of progress.
• Log all incoming mail when received for tracking and control purposes.
• Maintain records of all pertinent information related to the legal paper for audit purposes, following-up as needed to keep serving agency and internal departments informed of progress.
• Participate in departmental projects related to miscellaneous papers and subpoenas and complete other related assignments such as maintaining currency of procedures, training and completing reporting as assigned.
• Process miscellaneous papers on an as needed basis.
• Complete reviews of Commercial Loan Files and provide update to subpoena analyst of the items that need to be redacted.
• Complete and assist management with audits/reviews related to the Subpoena and Miscellaneous Paper teams.
• Provide guidance as needed to other associates as issues arise
• Understand and adhere to the Company’s risk and regulatory standards, policies and controls in accordance with the Company’s Risk Appetite.  Identify risk-related issues needing escalation to management.
• Promote an environment that supports belonging and reflects the M&T Bank brand.
• Maintain M&T internal control standards, including timely implementation of internal and external audit points together with any issues raised by external regulators as applicable.
• Complete other related duties as assigned.

Not Applicable

High School diploma or equivalent (GED) and a minimum of 4 years’ work experience

Proficiency with personal computers as well as pertinent word processing, spreadsheet and email software

Demonstrated written and verbal communication skills

Familiarity with various notices and legal documents

Previous research/investigation experience

Previous experience with pertinent Bank applications and systems

Experience as a paralegal or legal assistant in a large law firm

Proven organizational skills

Proven prioritization skills

Ability to exercise good judgment and sound discretion

Ability to recognize time sensitive and urgent matters

Proven ability to multi-task

Proven ability to work under tight time constraints