Operational Risk Specialist

CLASSIFICATION: Non-exempt

REPORTS TO: Operational Risk Manager

DATE: September 29, 2026

The Operational Risk Specialist supports the Bank's operational risk management program, with primary responsibility for receiving, reviewing, researching, and processing customer-related legal document request (i.e. summonses, subpoenas, levies, garnishments, and court orders). This position serves as a point of contact for attorneys, courts, government agencies, law enforcement, and internal business partners to clarify requests and ensure accurate, confidential, and timely responses for customer-related legal document requests.

The position also assists with operational risk assessments, incident reporting, control reviews, issue tracking, regulatory and audit requests, and other activities designed to identify and mitigate operational risk across the Bank.

• Receive, log, review, and process customer-related legal document requests such as summonses, subpoenas, levies, garnishments, and court orders served upon the Bank.
• Review legal documents for proper service, completeness, jurisdiction, response deadlines, affected customers or accounts, requested records, and required actions.
• Serve as a point of contact for attorneys, courts, law enforcement, government agencies, and other authorized parties, clarifying the scope, timeframe, authority, and format of requests for customer-related legal document requests as appropriate.
• Coordinate with Legal Counsel, Compliance, Deposit Operations, Loan Operations, Records Management, and other business units to research requests, gather responsive information, and resolve questions or exceptions.
• Request account holds, restrictions, remittances, releases, and other actions required by customer-related legal documents in accordance with applicable requirements, Bank procedures, and authorized guidance.
• Prepare and securely transmit accurate, complete, and timely responses while protecting customer, employee, and Bank information.
• Maintain complete case files and tracking records, including legal documents, correspondence, research, account actions, approvals, response dates, fees, and evidence of completion.
• Monitor response deadlines and promptly escalation unclear, complex, disputed, high-risk, or overdue matters to management, Legal Counsel, or Compliance.
• Assist with operational risk assessments, process and control reviews, risk and control self-assessments, and evaluations of new or changed products, services, systems, vendors, and processes.
• Document and evaluate operational incidents, losses, near misses, processing errors, control failures, policy exceptions, and other risk events; assist with root-cause analysis and corrective actions.
• Track risk issues, audit findings, remediation plans, and control improvements through completion, escalating overdue or insufficient actions.
• Support the collection and reporting of operational-risk information, including key risk indicators, legal-request volumes, losses, incidents, exceptions, trends, and emerging risks.
• Maintain current knowledge of Bank products, services, systems, policies, procedures, legal-process requirements, and operational risk practices.
• Perform all duties in accordance with applicable laws, regulations, court requirements, privacy standards, information-security requirements, records-retention standards, and Bank policies.
• Complete required training and perform other related operational risk duties and special projects as assigned.

• Provide backup support for other Business Support and Delivery functions and assist during periods of high legal-request volume or staff absence.
• Assist with the development and maintenance of procedures, forms, templates, and job aids.
• Participate in departmental meetings, working groups, and process-improvement initiatives as requested.
• Perform other duties as assigned.

• Knowledge of, or the ability to learn, the requirements associated with summonses, subpoenas, levies, garnishments, court orders, and similar legal documents.
• Ability to read detailed legal documents, determine required actions, conduct accurate account and record research, and recognize matters requiring escalation.
• Understanding of operational risk, internal controls, issue management, incident reporting, privacy, information security, and regulatory compliance within a financial institution.
• Strong analytical, investigative,…