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The health and safety of our colleagues and candidates for employment are our highest priority. Accordingly, Citi continues to monitor the COVID-19 situation closely. We have implemented precautionary measures across our firm globally, including conducting all candidate interviews virtually on a temporary basis until further notice where needed.

Assistant Vice President -Program Manager

Job Req ID 22554853 Location(s) New York, New York Job Category Legal
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The Legal Program Manager provides full leadership and supervisory responsibility. Provides operational/service leadership and direction to team(s). Applies in-depth disciplinary knowledge through provision of value-added perspectives or advisory services. May contribute to the development of new techniques, models and plans within area of expertise. Excellent communication and diplomacy skills are required. Generally has responsibility for volume, quality, timeliness of end results and shared responsibility for planning and budgets. Work affects an entire area, which eventually affects the overall performance and effectiveness of the sub-function/job family. Full supervisory responsibility, ensuring motivation and development of team through professional leadership to include duties such as performance evaluation, compensation, hiring, disciplinary and terminations as well as direction of daily tasks and responsibilities.


Restricted and Control Stock Program Manager & Legal Specialist

  • Requires knowledge of SEC Rule 144 and Securities Act of 1933
  • Conducts thorough due diligence by evaluating each transaction and verifying the data and documentation provided by a Registered Rep on behalf of the client, which includes contacting various issuer’s counsel and tranfer agents
  • Provides approvals or denials for all transactions
  • Submits Form 144 documents to the Securities Exchange Commission and US exchanges
  • Works on 10b5-1 sales plans and 10b18 repurchases
  • Acts as signatory on Broker representation documents, on behalf of the Citigroup Global Markets Inc., for transactions such as a legend removal or transfer of shares
  • Maintains and updates a log of all Restricted and Control Stock Group transactions
  • Maintains and updates required Restricted and Control Stock Group forms
  • Provides quarterly metrics to the Risk and Branch Testing teams
  • Works closely with the special equities desk, middle office operations teams, registered reps and branch managers from various Citi locations, both local and international, for all Lines of Business
  • Does not have direct contact or engage with clients
  • Assists in collecting data and submits Form ADVs to the SEC for two investment advisers
  • Analyzes business records, data and documents, weighing various alternatives and balancing potentially conflicting sources to develop an approach or action
  • Interfaces with the appropriate bank officers, government agencies & outside counsel
  • Appropriately assess risk when business decisions are made, demonstrating particular consideration for the firm's reputation and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying sound ethical judgment regarding personal behavior, conduct and business practices, and escalating, managing and reporting control issues with transparency, as well as effectively supervise the activity of others and create accountability with those who fail to maintain these standards.


  • 5-8 years of experience
  • Paralegal certification from an accredited institution
  • Experience in a corporate legal department, law firm, consulting firm or related industry
  • Progressive experience as a Paralegal or managing Legal projects
  • Excellent technical, writing, analytic and research skills
  • Advanced Word, Excel and PowerPoint skills
  • Excellent interpersonal skills relating to confidential information and when dealing with customers/regulators/Staff
  • Internet: Lexis/Westlaw
  • Program/Project management life cycle
  • Detail oriented with excellent written and oral communication skills
  • Excellent reading and analytical skills
  • Self-motivated character
  • Ability to work independently and together in a team environment


  • Bachelors/University degree or equivalent experience

This job description provides a high-level review of the types of work performed. Other job-related duties may be assigned as required.


Job Family Group:



Job Family:

Legal Support


Time Type:

Full time


Primary Location:

New York New York United States


Primary Location Salary Range:

$91,960.00 - $137,940.00


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


Effective November 1, 2021, Citi requires that all successful applicants for positions located in the United States or Puerto Rico be fully vaccinated against COVID-19 as a condition of employment and provide proof of such vaccination prior to commencement of employment.

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