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Associate General Counsel - Wealth Management

Job Req ID 22439634 Primary Location Tampa, Florida Job Category Legal
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The Associate General Counsel is a senior management-level position responsible for accomplishing results through direct day-to-day legal activities in coordination with the Legal team. The overall objective of this role is to provide legal support, advice and guidance across a broad range of practice areas.

Responsibilities:

  • 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
  • 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.

Qualifications:

  • 15+ years of experience
  • Experience in people management
  • Banking or financial industry experience
  • Comprehensive knowledge of laws and practices
  • Proven analytical and organizational skills
  • Consistently demonstrate clear and concise written and verbal communication
  • Bar license in good standing to practice law

Education:

  • Bachelor's degree/University degree or equivalent experience
  • Master's degree preferred

    -- providing ongoing legal advice to the wealth management business on regulatory issues relevant to business practices and new initiatives, existing product programs, new product rollouts, and the impact/requirements of new securities industry rules and regulations;

     -- advising the business in connection with securities regulatory and enforcement matters (SEC, SRO, states, etc.), and interacting with regulators on such matters;

     -- coordinating with other functional support groups, such as Independent Compliance Risk Management (ICRM), Independent Risk, Internal Audit, Tax, and Government Affairs in connection with matters involving the wealth management business (e.g., regulatory exams, internal audits and Compliance testing);

     -- supporting all manner of business initiatives, including adopting/amending policies and procedures, drafting training materials, reviewing client-facing  materials;

     -- drafting various contracts and other documents used in connection with the business of the broker-dealer and/or registered investment adviser, including customer agreements and disclosures, affliate service-level agreements, and selling and distribution agreements;

     --  interacting with the business's clearing broker with respect to services it provides and matters regarding the clearing agreement;

     -- engaging with the business on matters such as hiring/recruiting efforts, internal reviews and investigations, firm disciplinary matters, and ethics complaints;

    -- coordinating with internal functional support groups (ICRM, Risk, Tax, Regulatory, etc.), and with outside counsel, as necessary, in connection with the execution of all of the above.

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Job Family Group:

Legal

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Job Family:

General Legal

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Time Type:

Full time

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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

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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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