JPMorgan Chase Subpoenas/Legal Paper Served Operations Leader-Fort Worth, TX or Indianapolis, IN in Fort Worth, Texas

Subpoenas/Legal Paper Served Operations Leader-Fort Worth, TX or Indianapolis, IN


Centralized Transaction Operations (CTO), which is aligned under CCB, provides a wide range of global operational support and services for retail, commercial, treasury, asset wealth management and credit card customers. CTO has approximately 3,500 employees.

Under the direction of Group Manager Lew Fischer, CTO is committed to a culture based on Shared Values and Behaviors. An ongoing focus for the organization is continuous improvement

on behalf of the firm, shareholders, and foremost, customers - as achieved through a structured business planning and execution model.

CTO is composed of four core operating functions; Acquisition Services, Information and Services, Control and Risk Management, and Payment Workflow Management. Within CTO, these groups are supported by Performance Consulting, Implementation Services and Communications groups..

Service & Resolution (S&R) is one of the core functions of CTO. We review, repair, correct & deposit checks & payments for Chase Customers. We also fulfill check research requests & all subpoena requests for the firm. S&R is a critical partner to Commercial Banking, Consumer & Community Banking (CCB) and the Corporate & Investment Bank (CIB), and works closely with internal CTO partners. S&R provides a variety of operational and financial controls, as well as compliance assurances, to mitigate risk for our customers and the company. S&R includes a number of Centers of Excellence that are recognized company-wide for their exemplary service and support.

Role Summary

The Operations Manager for the Subpoenas/Legal Paper Served Operations Center of Excellence provides strategic leadership & direction to operating/service units across all locations. Provide day to day management oversight to the operating teams, drive organizational culture focused on Customer’s Experience, Risk & Control Management.

  • Integrate National Subpoena Processing, New York Subpoena Response and Image Retrieval to make one holistic division that shares common values and goals; achieve staff specialization and economies of scale by combining the three operating units together

  • Optimize the synergy between Legal Paper Served and its business partners, both within CTO and the broader firm

  • Initiate a project for the Enterprise Service Delivery System (ESDS) to provide automation and electronic fulfillment in support of all subpoena requests.

  • Embark on a transformational journey of continuous improvement designed to reduce cycle time and improve efficiency.

Organizational Overview

National Subpoena Processing:

  • Receives and responds to external, legal requests for information, mainly customer information related to a legal matter.

  • Responds to approximately 7,700 subpoenas a month and is located in Indianapolis, Indiana; and Fort Worth, Texas.

  • Receives, reviews and routes legal documents to the appropriate group within the firm, including court orders, levies, bankruptcy papers, litigation documents and subpoenas.

  • Receives and responds to subpoenas from a variety of sources including government agencies, law enforcement, attorneys, courts and debt collectors.

  • Reviews all requests for legality, scope and due date.

  • Gathers information requested from various sources throughout the firm. The information requested may include statements, images, signature cards, loan files, account applications and video surveillance.

  • Identifies risk to the corporation, or potential fraud, through review of the subpoena and requested information.

  • Appears in court for document authentication.

  • Coordinates court appearance requests for specific subject matter expertise.

New York Subpoena Response:

  • NYSR processes, on average, 900 subpoenas per month, approximately 10% of overall Subpoena volume and is located in 1 Chase Manhattan Plaza, New York

  • NYSR processes specific types of subpoenas: Tri-State Local Government (NJ, NY, or CT); Regulatory/SEC; Federal/Criminal originating in Tri State; International/Foreign Countries; JPMC targeted; JPMC Employee; High profile matters; FinCEN/FINRA; Homeland Security; Bear Stearns; and US District Court-South Florida district

  • NYSR is responsible for review of all criminal subpoenas for escalation to AML, GS&I, etc

  • NYSR reviews all Federal cases for applicability of the Right to Financial Privacy Act

Image Retrieval:

  • Responds to requests for copies of account statements and other items, such as checks.

  • Produces 43.8 million photocopies annually, with 80% being provided to legal groups within the firm, namely Subpoena processing.

  • Produces copies of documents required to respond to subpoenas.

  • Maintains comprehensive location index of items based on heritage bank and system of record.

  • Manages quality and billing for vendors that maintain off-site documents.

Legal Paper Served:

  • The Legal Papers Served (LPS) group comprises a team of 38 legal specialists with offices at 1 Chase Manhattan Plaza , New York (32 FTE) and Chatsworth, CA (6 FTE)

  • LPS receives, on average, 20,000 legal papers each month and routes the papers to the appropriate area within the bank for handling

  • Incoming papers are triaged first so that subpoenas, asset based orders, litigations, threatened litigation matters and Executive Office referrals are immediately identified and sent to the right department

  • All the remaining legal documents, third party process, are electronically transmitted to and then handled by the appropriate lines of business

  • LPS leverages the Subpoena Compliance Database (Subpoenas); Online Legal Database (Litigation Matters); Litigation Served Process Log (3rdParty Process & Executive Office Matters). Asset based matters are emailed to Court Orders & Levies for handling


  • Serve on the CTO S&R Leadership Team to drive the overall business strategy and direction, roadmap for change, organizational people initiatives and monthly/annual scorecards for the teams

  • Lead the organization; establish organizational goals and alignment to the broader CTO S&R organization. Accountable for employee assignments and direct expense budget.

  • Collaborate with LOB Partners, Operations, Finance & Technology teams to prioritize & schedule initiatives

  • Leadership approach that enhances the customer experience, creates operating efficiencies, and strengthens the control and risk environment.

  • Establish a framework that proactively identifies risk to the firm, create predictive indicators for emerging exceptions

  • Provide the tools and governance structures that help ensure a robust Change Management process & ensures alignment with goals of Operations, Technology & LOB partners

  • Drive & build employee engagement practices, instill culture of Integrate Coaching in Managers & Supervisors in the Organization, help staff members identify the connection between their day to day work & improved Customer Experience

  • Encourage & champion Continuous Improvement tools & practices, leading to process efficiencies & positive employee experience


Other Experience/Skills

  • Strong judgment in balancing risk management and customer experience dimensions multiple and complex regulatory and legal jurisdictions

  • Strong interpersonal skills (listening, negotiating, influencing, building trusting relationships)

  • Excellent written and oral communications, including the ability to simplify and communicate complex issues for a variety of audiences

  • Experience in developing and managing complex processes across multiple sites/geographies

  • Industry Knowledge on Consumer Banking, Compliance & regulatory practices

  • Bachelor’s degree or equivalent experience required. Masters or advanced degree in Business/Finance preferred

  • 16 years of proven experience in banking operations management experience, including in-depth experience in stakeholder relationship management, management of large production production/service delivery teams across multiple locations,

  • Extensive experience in financial management and planning; a proven strategic leader

  • Expert negotiation, influence, communication and facilitation skills required.

  • Experience with Legal, Audit, Risk, or Compliance related processes preferred

JPMorgan Chase is an equal opportunity and affirmative action employer Disability/Veteran.

Job Securities Operations

Primary Location US-TX-Fort Worth-Centreport Operations Center / 55453

Other Locations US-IN-Indianapolis-Indianapolis West Operation Ce / 11025


Schedule Full-time

Job Type Standard

Shift Day Job

Travel Yes, 25 % of the Time

Req ID: 170009555