What you'll do day-to-day Primary responsibilities will include performing initial investment diligence, including legal research, structuring investments, preparing investment memos, and monitoring portfolio investments in commercial litigation. Who we're looking for Candidates should have an excellent record of academic and professional achievement, including an impressive clerkship and one t...
What you'll do day-to-day Responsibilities will include preparing regulatory filings, collaborating with compliance staff to support the firm's business units, designing and reviewing automated compliance monitoring reports, and ensuring adherence to compliance policies. You'll also work on long-term projects to maintain the firm's high standards of compliance with new and existing regulations....
What you'll do day-to-day The successful candidate will become part of a small, highly skilled team responsible for creating and maintaining investment products and vehicles. The role encompasses a wide array of responsibilities, including developing new investment products, drafting and reviewing offering documents and investment management agreements, and negotiating with prospective clients ...
What you'll do day-to-day Responsibilities will consist primarily of supporting the firm's marketing and client service functions, including by reviewing marketing and reporting materials for the firm's new and existing investment products; advising on relevant regulations, policies, and procedures; and assisting with investor-related requests and transactions. Responsibilities may also include...
The Compliance Advisory function within the Wealth and Investment Management Compliance department works with senior management and all branch offices to provide guidance and interpretation of rules and regulations. Compliance Advisory is responsible for: (i) conducting independent surveillance; (ii) performing internal reviews/investigations arising from sales practice issues, client allegatio...
Overall purpose of role The role holder will be part of the Structured Products Legal team in Americas, providing legal support to businesses involved in the issuance of structured investments in the Americas and working with senior business personnel across the platforms and asset classes involved in the structured investments business. The role holder will have primary coverage responsibility...
A top-tier investment management and diversified financial services firm seeks a a Compliance professional. The person will be a member of the Institutional Compliance team, and serve as a subject matter expert focusing on compliance matters regarding distribution of investment advisory managed accounts and wealth management products, services and tools. You will also monitor changes in regulat...
Responsibilities: Draft, review, and advise on structured finance and derivatives transactions including repurchase transactions, secured loans, total return swaps and other OTC swaps (credit and rates). Be actively involved in the management of legal, regulatory and reputational risk, including close coordination with other risk functions. Advise on Dodd Frank Title VII with a focus on clearin...
Responsibilities: Review marketing materials (primary responsibility) Liaise between marketing compliance associates in each business group to manage Firm Strategic Partnership relationships Conduct email review Manage logistics for organizing compliance training and work with CCO to develop content Conduct training for Firm new hires on a regular basis Assist with annual broker-dealer complian...
Responsibilities will include: Managing the local compliance program for this business area in a manner designed to meet regulatory requirements and industry best practices. Identifying regulatory trends and developments, advising business staff as to how this may impact their current activities, and working with supervisors to implement any required changes to current policy / practice. This w...
Primary Location: United States,New York,New York Education: Bachelor's Degree Job Function: Compliance and Control Schedule: Full-time Shift: Day Job Employee Status: Regular Travel Time: Yes, 10 % of the Time Job ID: 19027655 Description About Citi: Citi, the leading global bank, has approximately 200 million customer accounts and does business in more than 160 countries and jurisdictions. Ci...
Primary Location: United States,New York,New York Education: Bachelor's Degree Job Function: Compliance and Control Schedule: Full-time Shift: Day Job Employee Status: Regular Travel Time: Yes, 25 % of the Time Job ID: 19027624 Description About Citi: Citi, the leading global bank, has approximately 200 million customer accounts and does business in more than 160 countries and jurisdictions. Ci...
Job Description: We are seeking a compliance officer to join our growing legal & compliance team. This position will report directly to CCO of CICC US. The ideal candidate will be a proactive team player who is comfortable with daily tasks and seeing complex projects through to completion. Daily responsibilities include but not limited to: Manage compliance operations on the day-to-day basis Ai...
Primary Location: United States,New York,New York Education: Bachelor's Degree Job Function: Private Client Coverage Schedule: Full-time Shift: Day Job Employee Status: Regular Travel Time: No Job ID: 19035466 Description 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 consume...
Primary Location: United States,New York,New York Education: Bachelor's Degree Job Function: Compliance and Control Schedule: Full-time Shift: Day Job Employee Status: Regular Travel Time: Yes, 10 % of the Time Job ID: 19035975 Description About Citi Citi, the leading global bank, has approximately 200 million customer accounts and does business in more than 160 countries and jurisdictions. Cit...
JobDescription : The Role: Legal & Contracts Operations Associate The Location: New York, NY or Charlottesville, VA The Impact: S&P Global Market Intelligence Legal Department is looking to expand the support coverage for the Business globally, so it can respond in an agile manner to legal and negotiation requests. Responsible for supporting the management and organization of SPGMI Legal. Prima...
Primary Location: United States,New York,New York Education: Bachelor's Degree Job Function: Product Management Schedule: Full-time Shift: Day Job Employee Status: Regular Travel Time: Yes, 10 % of the Time Job ID: 19024662 Description About Citi Citi, the leading global bank, has approximately 200 million customer accounts and does business in more than 160 countries and jurisdictions. Citi pr...
Primary Location: United States,New York,New York Education: Bachelor's Degree Job Function: Private Client Product Mgmt Schedule: Full-time Shift: Day Job Employee Status: Regular Travel Time: Yes, 10 % of the Time Job ID: 19028905 Description About Citi Citi, the leading global bank, has approximately 200 million customer accounts and does business in more than 160 countries and jurisdictions...
The goal of this project is to reconcile data between the Acquiremedia application and Salesforce (SFDC). The ultimate end goal is to have consistent product and permissioning information between our \"golden source\" CRM system (SFDC) and our 3 rd party conduit partner Acquiremedia. Research Distribution customers and 3 rd party partners can be given access to research product packages through...
Primary Location: United States,New York,New York Other Location: United States,Florida,Tampa Education: Bachelor's Degree Job Function: Compliance and Control Schedule: Full-time Shift: Day Job Employee Status: Regular Travel Time: Yes, 10 % of the Time Job ID: 19027887 Description Citi, the leading global bank, has approximately 200 million customer accounts and does business in more than 160...