Senior Legal Counsel Regulatory Enforcement and Litigation

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Senior Legal Counsel, Regulatory Enforcement and Litigation
The candidate reports to the Global Head of Litigation, Investigation, and Regulatory Enforcement. Focuses on regulatory inquiries, enforcement, and monitoring, and assists the group with general litigation and subpoena responses. Responsible for managing a variety of regulatory issues, including inquiries, complaints, enforcement, and monitoring by and with regulators and auditors. Work with senior internal counsel to manage all aspects of a matter, including developing and implementing strategy, conducting early matter assessments, preparing management presentations and summaries, interviews, reviewing outside counsel work products, and overseeing discovery. Oversees internal discovery efforts with or without outside counsel, including coordination with the internal e-discovery team about document identification, searching, collection, and production. Responsible for creating and maintaining tracking tools and reports produced by the Litigation, Investigation, and Regulatory Enforcement group. Drafts facilitate and implement legal hold notices. Conducts complex research and prepares summaries of findings. Responsible for supporting the firm’s response to subpoenas, levies, garnishments, and other legal processes served on the firm. Responsible for preparing employees, with or without the assistance of outside counsel, for regulatory interviews or exams, depositions, and trial/hearing testimony. Handles assorted miscellaneous litigation matters. Responsible for working collaboratively with outside counsel and other legal and forensic vendors. Effectively communicates with internal partners (e.g., relationship managers, Legal Department, Risk/Compliance, Tax, Human Resources) and external parties (e.g., external or opposing counsel, other financial institutions, law enforcement, regulators, and investigations staff) in the course of investigations or information gathering.

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