Senior Counsel

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Job description

The Senior Counsel is a senior professional position responsible for accomplishing results through the management of a team or department in an effort to manage and 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:

* 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 Global Wealth Investments.
* 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, 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, 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.

Education:

* JD degree required

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