Associate General Counsel - Traditional Investments

Profile

Associate General Counsel - Traditional Investments

The candidate will accomplish results through the management of a team or department to manage and direct day-to-day legal activities in coordination with the Legal team. Lead the North America (NAM) investment management legal team. Provide legal, regulatory and policy advice to senior management, front office personnel, and control functions on matters related to the NAM investment management accounts, products and services offered through Citi Global Wealth. Advise the CGMI Registered Investment Advisor Governance Committee. Provide 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. Supervise the review, drafting and negotiation of 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. Evaluate employee performance and provide recommendations for pay increases, promotions, terminations, personnel-related matters, as applicable. Oversee legal activities in a single geographic location, multiple countries and/or over multiple products within a discrete business, such as Investment Banking, Debt Capital Markets, Corporate Law, etc. or over an area of legal expertise such as, Litigation Regulatory, HR, IP, Employment, etc.. Participate in strategic planning and development and contribute to business objectives by using knowledge of industry, laws and regulations. Partner with business/functional line management in recommending, developing and executing business initiatives within permissible statutory and regulatory frameworks. Manage day-to-day legal activities as a subject matter expert in area of responsibility and provide senior advisory services to business partners. Negotiate, coordinate and monitor management of complex legal issues and make key decisions and provide strategic vision. Manage day to day legal activities for area of responsibility. J.D. is required. Should have 15+ years of experience. Experience in people management is required. Banking or financial industry experience is required. Bar license in good standing to practice law is required.

Additional Information

Job Req ID: 22554846

Company info

Citigroup, Inc
One Court Square
New York
New York
United States 11120
Website : http://www.citigroup.com