Review and respond to third-party subpoenas. Timely identify, review and produce responsive documents while protecting the privacy of the firm's clients. Work independently with requesting counsel to negotiate scope and time frame for production of responsive documents. Manage the firm's involvement in third-party restraint matters and limit potential liability by properly responding to court orders, garnishments, restraining orders, and other government and private party requests. Serve as project manager on matters involving eDiscovery, review vendors, data collection teams, requesting counsel and outside counsel on matters involving structured and unstructured data.. Analyze third-party legal matters to identify potential exposure of the firm and recommend engagement of outside counsel when necessary. Work closely with prosecutors and investigators and evaluate client account activities to determine if referral for financial crimes investigation is necessary. Work closely with in-house counsel and anti-money laundering investigators to limit potential risk to the firm.

Participate in all aspects of internal investigations, including whistleblower drive cases. Collaborate with cross-functional investigation teams, subject matter experts, and stakeholders. Conduct interviews, document and electronic communication reviews and gather and analyze information in connection with investigations.Manage case documentation and work on internal reporting and portfolio analysis.

Work with branch office personnel, registered representatives and other stakeholders to conduct investigations and prepare written responses to regulatory inquiries, investigations and subpoenas from, among others, the SEC, DOJ, state regulators, and self regulatory organizations such as FINRA.Collaborate with in-house counsel in determining the need for referrals to the firm's Financial Crime Compliance - Anti Money Laundering Prevention Group for internal investigation of financial crime regulatory matters.Independently conference with regulators, government officials, law enforcement and outside counsel on various regulatory matters.

Perform all aspects of litigation support, including deposition summaries, internet research, factual investigation, medical records review, document management, and trial preparation. Coordinate, prepare, and interpret complex legal documents, including pleadings, motions, briefs, interrogatories, responses, and agreements. File documents using electronic court filing systems in accordance with local rules in multiple states. Draft and review documents for formation, amendments, withdrawals, mergers, and dissolution of for-profit and non-profit corporations, partnerships, and limited liability companies. Prepare annual state and federal filing requirements. Create and maintain corporate minute books. Assist with estate planning, probates, and conservatorships. Conduct fact finding and signing conferences with clients. Draft and review Wills, Trusts, medical directives, and probate documents. Collect information and value assets to prepare of accountings, inventories, and tax returns.

Draft documents for attorney review in the areas of Adoption, Divorce, Juvenile Law, Criminal Law, Real Estate, Wills, Estates and Trusts. Transcribe dictation and prepare correspondence.