Apply on Employer Site

Citizens · 3 months ago

Associate General Counsel Wealth

437 Madison Ave, New York, NY, 10022, US

Full-time

Hybrid

Senior Level, Lead/Staff

$210K/yr - $230K/yr

10+ years exp

Citizens is looking for an experienced growth-minded and problem-solving attorney to serve as Associate General Counsel supporting the Wealth Management Division of the Citizens Consumer Bank. The role involves providing comprehensive legal guidance to senior management and supporting the entirety of the Citizens Wealth Management business.

BankingCredit CardsFinancial ServicesFinTechRetail

Responsibilities

Advise senior management and other stakeholders on a wide range of legal and compliance issues concerning all aspects within the Bank’s full-service wealth management business, which includes RIA, Broker Dealer and Trust (including Delaware trust) offerings and services

Develop and support implementation of legal assessments, interpretations, recommendations, and opinions on laws, policies, and regulatory issues

Assist Compliance and Risk colleagues in responding to regulatory requests and examinations from applicable state and federal regulators, including the OCC, SEC, and FINRA, and with the submission of required regulatory filings

Monitor and proactively advise other stakeholders on industry regulatory developments, and legislation that may affect business lines, including regulatory change management

Provide subject matter advice concerning investment management and related commercial agreements, business transactions, claim liability, advisability of prosecuting or defending lawsuits (in partnership with Citizens’ Litigation team), or legal rights and obligations

As needed, supervise Legal due diligence of potential Wealth Management acquisition targets

As and where required, retain and manage external counsel

Qualification

Legal experienceRIABroker-Dealer expertiseFederal securities laws knowledgeInvestment management adviceAdvanced drafting skillsRegulatory compliance experienceNegotiation skillsCoaching junior attorneysCollaborative approachStrategic thinkingDecision-making skills

Required

10+ years of legal experience with substantial experience in the RIA and Broker-Dealer space

Thorough familiarity with federal securities laws, including the Securities Act of 1933, the Securities Exchange Act of 1934, the Investment Advisers Act of 1940, relevant portions of ERISA and its parallel provisions under the Internal Revenue Code, the Investment Company Act of 1940 and applicable FINRA rules

Experience working with a range of issues affecting private wealth and institutional clients, with demonstrated experience advising on alternative investment matters

Demonstrated expertise on a wide arrange of investment-management related and general commercial transactional matters, including advanced drafting and negotiation skills, developed through sophisticated and substantial outside counsel or in-house transactional experience

Ability to handle and prioritize multiple high-profile projects, strong attention to detail, willingness to dig in and ability to thrive in a fast paced, dynamic work environment

Experience managing, coaching, and mentoring junior attorneys and/or Legal support staff in an in-house environment

JD or equivalent, strong academic credentials

Admission to at least one U.S. bar required

Preferred

A collaborative approach in devising pragmatic and creative solutions across a variety of issues in a growth environment

The ability to think strategically and tactically, with excellent judgment and decision-making skills to help the firm make the best risk-based decisions

The ability to see past the immediate question and understand the broader implication and wider strategy

A highly collaborative team player with a positive attitude, growth mindset, good sense of humor and ability to stay calm when the pressure is on

Benefits

Comprehensive medical, dental and vision coverage

Retirement benefits

Maternity/paternity leave

Flexible work arrangements

Education reimbursement

Wellness programs

Paid time off policy exceeds the mandatory, paid sick or paid time-away policy of every local and state jurisdiction in the United States

Company

Citizens

Glassdoor3.6

At Citizens, we recognize that the journey to accomplishment is no longer linear and that individuals are made of all they have done and all they are going to do.

Founded in 1828

Providence, Rhode Island, USA

10001+ employees