Senior Counsel, NAM Private Bank

Tampa, FL
Full Time
11-01-2018
Job #: 18070326 Exp.: 5+ Years
Description:
Citi, the leading global bank, has approximately 200 million customer accounts and does business in more than 160 countries and jurisdictions. Citi provides consumers, corporations, governments and institutions with a broad range of financial products and services, including consumer banking and credit, corporate and investment banking, securities brokerage, transaction services, and wealth management. Our core activities are safeguarding assets, lending money, making payments and accessing the capital markets on behalf of our clients.

Citi’s Mission and Value Proposition explains what we do and Citi Leadership Standards explain how we do it. Our mission is to serve as a trusted partner to our clients by responsibly providing financial services that enable growth and economic progress. We strive to earn and maintain our clients’ and the public’s trust by constantly adhering to the highest ethical standards and making a positive impact on the communities we serve. Our Leadership Standards is a common set of skills and expected behaviors that illustrate how our employees should work every day to be successful and strengthens our ability to execute against our strategic priorities.

Diversity is a key business imperative and a source of strength at Citi. We serve clients from every walk of life, every background and every origin. Our goal is to have our workforce reflect this same diversity at all levels. Citi has made it a priority to foster a culture where the best people want to work, where individuals are promoted based on merit, where we value and demand respect for others and where opportunities to develop are widely available to all.

Provide legal, regulatory and policy advice to senior management, front office personnel, and control functions on matters related to the North America (NAM) investment management accounts, products and services offered through Citi’s Private Bank.

Provide day-to-day legal support of the investment management business, including matters related to investment management account agreements and enrollment documents, investment policy statements, performance reports, Form ADV and other disclosures/filings, fiduciary trading issues, marketing materials, off-shore wealth services (OWS) and third-party managers and vendors.

Subject matter includes U.S. securities laws (especially the Investment Adviser’s Act of 1940, the Investment Company Act of 1940 and OCC Title 9), as well as broker-dealer and banking regulations, licensing/registration of personnel, data protection, and regulatory disclosures/filings.

Review, draft and negotiate various agreements including client and third-party manager/vendor agreements.

Involvement with regulatory matters, including those from the SEC and OCC, including the promulgation and implementation of new/amended rules and regulations, ordinary course examinations, enforcement actions, and those involving firm business and personnel.

Work closely with other control functions to ensure compliance by business with applicable laws, rules, regulations and policies/procedures, including through periodic reviews of such laws, rules and regulations, serving as Legal representative on Citi committees (such as Fiduciary Review Committees), and addressing risk, supervisory, operational and/or technology matters with legal/regulatory implications.

Represent Citi on industry working groups relevant to evaluate best practices and provide comments on proposed rules and regulations.

Qualifications
  • JD degree required, with Florida and/or New York Bar qualification.
  • 5+ years of experience as an attorney working in or with the financial services industry.
  • Preferred candidate has extensive experience in discretionary and non-discretionary investment management accounts and offerings to retail (non-institutional) clients.
  • Knowledge of securities laws, especially the Investment Adviser’s Act of 1940, the Investment Company Act of 1940 and OCC Title 9.
  • Skills and Competencies: Strong communications and presentation skills, confidence when dealing with senior managers, business and control functions, and strong legal and analytical skills.

Skills and Competencies:
Strong communications and presentation skills, confidence when dealing with managers, business and control functions, and strong legal and analytical skills.

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