Need help hiring top legal talent? Contact our team.
This job is expired. See open roles here
Company logo

Investment Management Attorney / Senior Lead Counsel I, SVP

Posted Feb 09
Full Time
On Site
Tampa, Florida

We are seeking a Senior Lead Counsel I to provide legal guidance and thought leadership to Citi’s wealth management business (Wealth).

This role requires a pragmatic, proactive attorney with thorough understanding of wealth management industry, combined with a solid conceptual / practical grounding in the laws and regulations that apply to U.S. investment advisers and broker-dealers. The Senior Lead Counsel I will focus on Wealth’s operations as a U.S. Registered Investment Adviser and fiduciary under OCC Regulation 9.

 

Responsibilities:

  • Provide legal, regulatory and policy advice to senior management, front office personnel, and control functions on matters related to the investment management accounts, products and services offered through Wealth’s U.S. businesses
  • Provide day-to-day legal support of the investment management business, including matters related to client investment management agreements and enrollment documents, investment policy statements, performance reports, Form ADV, Form CRS and other disclosures/filings, fund distribution agreements, sub-manager agreements, model provider agreements, fiduciary trading issues, marketing materials and third-party vendor arrangement.
  • Subject matter includes U.S. securities laws (especially the Investment Adviser’s Act of 1940 and OCC Title 9), as well as the Investment Company Act of 1940, broker-dealer and banking regulations, FINRA licensing/registration of personnel, data protection, and SEC and FINRA regulatory disclosures/filings
  • Review, draft and negotiate various agreements including client agreements, onshore and offshore mutual fund distribution agreements, and third-party manager/vendor agreements
  • Substantial involvement with regulatory matters, including supporting Form ADV and Form CRS disclosure, regulatory change management (advice 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
  • Coordinate resources to meet business needs and ensure efficient delivery of legal services, including management of outside counsel on a limited basis

 

Qualifications:

  • 7+ years of experience in or with the financial services industry
  • Preferred candidate has extensive experience working with investment advisers and investment offerings to retail clients
  • Comprehensive knowledge of securities laws including the Investment Advisers Act of 1940, OCC Regulation 9 and Investment Company Act of 1940
  • Proven analytical and organizational skills
  • Consistently demonstrate clear and concise written and verbal communication
  • Bar license in good standing to practice law

 

Education:

  • Juris Doctorate or equivalent law degree

 

Primary Location Salary Range:

$163,380.00 - $245,070.00

 

Citi is an equal opportunity and affirmative action employer.

Qualified applicants will receive consideration without regard to their race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran.

Citigroup Inc. and its subsidiaries ("Citi”) invite all qualified interested applicants to apply for career opportunities. If you are a person with a disability and need a reasonable accommodation to use our search tools and/or apply for a career opportunity review Accessibility at Citi.

View the "EEO is the Law" poster. View the EEO is the Law Supplement.

View the EEO Policy Statement.

View the Pay Transparency Posting

Similar Opportunities
Company logo

Deputy General Counsel

California Department of Education
Posted April 18
Sacramento, CaliforniaFull TimeOn Site