Subpoena Analyst

At BBH, Partnership is more than a form of ownership—it’s our approach to business and relationships.  We know that supporting your professional and personal goals is the best way to help our clients and advance our business. We take that responsibility seriously. With a 200-year legacy and a shared passion for what’s next, this is the right place to build a fulfilling career.

The Subpoena Analyst is responsible for managing all requests for information received by BBH pursuant to subpoenas, summons, and other forms of legal process issued by governmental/regulatory agencies and third parties in private litigation. Specifically, the Analyst is responsible for reviewing each request, identifying the records required to respond to the request, and preparing the response to the request. The Analyst is also responsible for preparing for management approval an analysis of each document request to identify potential red flags, including potential money laundering or sanctions evasion concerns, that may warrant referral to BBH Global Financial Crimes Compliance. Any matters warranting such referral will then be timely escalated by the Analyst to the appropriate unit within BBH to further investigate and report. The Analyst must have the proper investigative/technological skills required to search various internal systems for the relevant responsive information, and the organizational skills required to document and record the steps taken in responding to each request. The ability to succinctly communicate with law enforcement, governmental agencies, attorneys, and colleagues is also required. The position operates fairly independently as a trusted member of the Office of the General Counsel (“OGC”) and is involved in complex/sensitive legal matters affecting BBH.

Responsibilities:

Investigating/Responding to Legal Process and Document Requests:

• 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.

Escalation of Legal Process Requests:

• 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 in maintaining procedures for escalation process.

Provide Support to the Office of the General Counsel (“OGC”):

• 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.

Qualifications:

Education level and/or relevant experience(s):

• BA/BS Degree.
• Finance, Economics or Business degrees preferred.
• 4 to 5 years as an investigative analyst or paralegal preferred.
• 4 to 5 years' experience in either drafting or responding to subpoenas or other Legal Process preferred.
• 4 to 5 years of AML compliance experience preferred.

Knowledge and skills (general and technical):

• 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.
• Working knowledge of anti-money laundering/sanctions laws and regulations preferred, but not required.

Other requirements (licenses, certifications, specialized training, physical or mental abilities required):

• Working knowledge of custodian banking, transfer agency, investment management, and private banking preferred, but not required.

Salary Range

NY: $85,000 - $110,000 base salary + annual bonus target

BBH’s compensation program includes base salary, discretionary bonuses, and profit-sharing. The anticipated base salary range(s) shown above are only for the indicated location(s) and may differ in other locations due to cost of living and labor considerations. Base salaries may vary based on factors such as skill, experience and qualification for the role. BBH's total rewards package recognizes your contributions with more than just a paycheck—providing you with benefits that enhance your experience at BBH from long-term savings, healthcare, and income protection to professional development opportunities and time off, our programs support your overall well-being. 

We value diverse experiences. We value diverse experiences and transferrable skillsets. If your career hasn’t followed a traditional path, includes alternative experiences, or doesn’t meet every qualification or skill listed in the job description, please do go ahead and apply.

About BBH:

Brown Brothers Harriman (BBH) is a premier global financial services firm, known for premium service, specialist expertise, technology solutions and partnership approach to client management. Across Investor Services and Capital Partners, we work with an enviable roster of sophisticated clients who make BBH their first call when they are tackling their hardest challenges. Delivering for our clients and each other energizes us.

We believe that how we do our work is just as important as what we do. We are relentless problem solvers who know our best ideas come from collective debate and development—so we are never possessive about our ideas. Every day we come together as a diverse community of smart and caring people to deliver exceptional service and expert advice—creating success that lasts. No matter where you sit in the organization, everyone is empowered to contribute their ideas. BBHers can pick up the phone and call any colleague, and they are happy to help. Expanding your impact beyond your daily role is part of how we operate as trusted partners to one another. 

We believe stability is a competitive advantage, but being stable means having the knowledge, skill, and discipline to evolve, often—pushing the boundaries of innovation.  As a private partnership, every investment we make is in the relationships, technologies, products and development we believe are in the long-term interests of our clients and our people. Our long-tenured leaders are experts in their areas and are actively involved in the day-to day business, taking the time to provide guidance and mentoring to build the next generation of BBHers. Because we know, our success begins with yours.

Go to BBH.com to learn more about our rewards and benefits, philanthropy, approach to sustainability or how we support you to thrive personally, physically and financially.