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Assistant General Counsel - ICG Regulatory Investigations

Posted on: 1 Jul 2019 172 views
: Assistant General Counsel
: Citi
: JD
: 5


About Citi

Citi, the leading global bank, has approximately 200 million customer accounts and does business in more than 160 countries and jurisdictions. Citi provides consumers, corporations, governments and institutions with a broad range of financial products and services, including consumer banking and credit, corporate and investment banking, securities brokerage, transaction services, and wealth management. Our core activities are safeguarding assets, lending money, making payments and accessing the capital markets on behalf of our clients.


Citi’s Mission and Value Proposition  explains what we do and Citi Leadership Standards explain how we do it. Our mission is to serve as a trusted partner to our clients by responsibly providing financial services that enable growth and economic progress. We strive to earn and maintain our clients’ and the public’s trust by constantly adhering to the highest ethical standards and making a positive impact on the communities we serve. Our Leadership Standards is a common set of skills and expected behaviors that illustrate how our employees should work every day to be successful and strengthens our ability to execute against our strategic priorities.


Diversity is a key business imperative and a source of strength at Citi. We serve clients from every walk of life, every background and every origin. Our goal is to have our workforce reflect this same diversity at all levels. Citi has made it a priority to foster a culture where the best people want to work, where individuals are promoted based on merit, where we value and demand respect for others and where opportunities to develop are widely available to all.


We are looking for a candidate to join the ICG Regulatory Investigations Group. The Group supports all ICG businesses, including corporate and investment banking, markets and securities services, trade and treasury services and the Private Bank, as well as broker-dealer businesses within Citi Personal Wealth Management, in connection with a broad range of regulatory and law enforcement inquiries and related investigations, sweeps and enforcement proceedings, as well as litigation related to the regulatory matters, initiated by the U.S. Securities and Exchange Commission, the Department of Justice, the U.S. Commodity Futures Trading Commission, FINRA and other SROs, and other federal and state securities regulators and law enforcement agencies.  The Group also handles internal investigations, especially in response to whistleblower complaints and/or in connection with potential regulatory or policy violations. The Group is active in providing advice to the transaction lawyers and related businesses to avoid regulatory risk.  The candidate will both independently handle matters as well as supervise outside counsel in all aspects of investigations and proceedings. Team members work closely with colleagues in other regions around the globe on cross-border and cross-affiliate issues that require collaboration and coordination.

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  • JD or equivalent and Requisite Bar Admission

  • A minimum of 5 years of professional experience in complex regulatory proceedings and litigation

  • Significant experience at a major law firm, regulator, and/or financial services company

  • Previous, in-depth exposure to capital markets, institutional sales and trading, and/or commercial and investment banking matters

  • Experience working at a regulatory agency would be a plus


The desirable candidate should possess the following personal characteristics:

  • Highest standards of integrity

  • Collaborative work habits, acting in the interests of a common cause

  • A proactive, energetic and pragmatic approach to business and legal issues

  • Excellent communication skills—including the ability to explain technical matters to non-lawyers

  • Active listening skills

  • The ability to successfully work clients located in different locations (both within the US and around the world)

  • A problem-solving, commercial orientation and a “can do” attitude, with a presence that commands respect

  • Primary Location: United States, New York
  • Education: Doctorate Degree
  • Job Function: Legal
  • Schedule: Full-time
  • Shift: Day Job
  • Employee Status: Regular
  • Travel Time: Yes, 10 % of the Time
  • Job ID: 19034263

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