What are the responsibilities and job description for the Lead Counsel II - Retail Wealth Management, VP (Hybrid) position at Hispanic Technology Executive Council?
The Lead Counsel II, VP is a senior professional position responsible for accomplishing results for the retail wealth management legal 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:
- Perform legal research and analysis and provide legal advice and recommendations with respect to issues and inquiries raised by retail clients involving the opening and maintenance of investment accounts, including, but not limited to:
- Transfer On Death accounts
- Trust and Estate accounts
- Conservatorship Accounts
- Custodian Accounts
- Legal Entity accounts
- Perform legal research and analysis and provide legal advice regarding Powers of Attorney and certain issues related to IRAs and other retirement accounts.
- Overall, primary responsibility for (i) addressing and resolving issues raised by financial advisors, their supervisors and middle office operations staff including client help desks regarding retail investment accounts; (ii) devising, drafting and maintaining policies and procedures related to such accounts; (iii) responding to inquiries and other actions regarding restraints on accounts and (iv) interacting with clients and their legal counsel, as necessary. In addition to working with business and operations people, Candidate will also collaborate with other legal and compliance colleagues.
- Providing legal advice to business, operations, risk and control functions regarding creation, revision and/or maintenance of client- facing and internal use forms, which may be used across several business lines and engage with counsel for clearing firm legal regarding such forms.
- Providing advice to the Restricted and Control Stock Services Group regarding client requests that require special handling often on an expedited basis. Such transactions require assisting the field with the facilitation and performance of due diligence required in evaluating transactions, dealing with company counsel and the firm's outside counsel and completing regulatory required filings with the SEC in a timely manner.
- Continuously stay informed of regulatory changes, new regulations, internal policy changes and developments in the law
- 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:
- 4-6 years of relevant experience
- Juris Doctor degree
- Bar License in good standing to practice law in at least one state
- Banking/financial industry experience or experience from big law firm
- Extensive knowledge and understanding of area of responsibility
- Comprehensive knowledge of local, state and federal laws and practices
- Consistently demonstrate clear and concise written and verbal communication
- Proven analytical and organizational skills
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Job Family Group:
Legal-------------------------------------------------
Job Family:
Legal - Product------------------------------------------------------
Time Type:
Full time------------------------------------------------------
Primary Location:
Tampa Florida United States------------------------------------------------------
Primary Location Salary Range:
$135,970.00 - $203,960.00------------------------------------------------------
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 .
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