Provide more focused and comprehensive compliance coverage for Citi Personal Wealth Management and CPII activities under the CGMI registered investment advisor. Enhance control structure and oversight of activities involving the CGMI RIA. Provide specialist support/advice to business/product management staff to facilitate appropriate and effective compliance with 1940 Act registered investment adviser regulations, Citigroup Fiduciary policy, and other relevant CGMI policies.
Drive development, implementation and execution of enhanced compliance monitoring and oversight practices covering CPWM/CPII RIA activities.
Oversee monitoring activities for CPWM/CPII RIA, and advise business on individual transactions as needed.
Compile and report relevant compliance MIS covering CPWM/CPII RIA activities, for reporting to Compliance and business management
Advise and consult with business/product management on relevant laws, regulations, and Citi policies and procedures related to product management and distribution
Partner in supporting CGMI RIA CCO compliance monitoring program to facilitate reporting of CPWM/CPII relevant data, and coordinate on related oversight and follow-up
Coordinate with other involved lines of business to support overall RIA compliance coverage under a consistent, integrated model, with particular focus on providing CPWM/CPII specific input and coordination. This includes but is not limited to RIA-wide policies/procedures, RCM, annual report, monitoring and testing initiatives, and business monitoring feedback
Participate in RIA-related business oversight meetings, committees and fiduciary governance activities, providing CPWM/CPII-specific compliance input and representation
Assist with development of content, implementation and delivery of investment advisory compliance training, both CPWM/CPII-specific and RIA-wide
Assist with Compliance oversight and advisory support for Global Consumer Group fiduciary activities, including but not limited to Compliance coverage for GFCC activities, Citigroup Fiduciary/Reg 9 policy, fiduciary training, and implementation of relevant programs.
Qualifications
10+ years of experience in investment advisory compliance/control related role, including elements of retail distribution. Legal and/or regulatory background preferred;
Bachelor’s degree or higher; law degree desirable
Strong knowledge of registered investment adviser and retail investment compliance activities, fiduciary laws and regulations;
Solid working knowledge of wealth management and investment advisory products and services,
Strong leadership, risk assessment, analytical, decision making, interpersonal, presentation, and written/verbal communication skills;
Able to work effectively with business management and staff, and with a varied organization of Compliance colleagues; engagement and pro-active advice to business management is critical;
Goal oriented team player;
Able to engage others in open, honest dialogue and directly addresses conflict when it arises.
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