Citi

Senior Regulatory Investigations Counsel

Citi

full-time

Posted on:

Location Type: Hybrid

Location: New York City • Florida • New York • United States

Visit company website

Explore more

✨ AI Apply
Apply

Salary

💰 $211,280 - $316,920 per year

Job Level

Senior

About the role

  • Provide legal advice to senior business and control function managers on a range of internal investigations, regulatory and law enforcement inquiries and related investigations, sweeps, and enforcement proceedings.
  • Handle a range of regulatory inquiries, investigations, and enforcement matters initiated by a variety of federal and state regulators and agencies, criminal law enforcement authorities and other self-regulatory organizations with minimal oversight.
  • Independently handle complex and sensitive internal investigations involving senior management, evaluate regulatory implications, and navigate potential disciplinary actions.
  • Manage investigations and regulatory enforcement matters through preventative and proactive legal advice and identifying and mitigating risk.
  • Identify and monitor management of complex issues arising in internal investigations and regulatory enforcement matters that impact Citi Legal or Citi’s Markets, Banking, Services and Wealth businesses and escalating issues, as necessary and appropriate.
  • Retain and supervise external counsel, including managing external legal spend and maintaining budgets.
  • As a subject matter expert, substantially influence the management of regulatory enforcement matters and internal investigations with primary accountability for end results.
  • Participate in forums, committees, councils, and working groups covering strategy, risk and compliance management, legal entity governance, regulatory interactions, investigations management, franchise reputation and other complex or risk-related issues arising as part of job remit.
  • Anticipate, evaluate, and appropriately respond to developments in local and international law and regulations related to investigations and regulatory enforcement matters that impact Citi’s Markets, Banking, Services and Wealth businesses.
  • Proactively identify, evaluate, and contribute to the appropriate management of legal, regulatory, and reputational risk by collaborating with Compliance and Risk, following relevant legal developments, participating in internal projects, and performing other related tasks.
  • Contribute to planning and development initiatives by providing thought leadership using knowledge of laws and regulations related to internal investigations and regulatory enforcement matters.
  • Appropriately assess risk when business decisions are made, demonstrating particular consideration for the firm’s reputation and safeguarding Citi, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Citi policies and procedures, 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.

Requirements

  • Minimum of 7 years of legal experience handling complex internal investigations and regulatory enforcement matters.
  • Experience at a major law firm, regulator, and/or financial services company.
  • Exposure to capital markets, derivatives, institutional sales and trading, and/or commercial, corporate, or investment banking.
  • Proven ability to apply sound judgment while managing multiple assignments in a demanding, fast-paced environment.
  • Experience working in a complex global environment highly desirable.
  • Prior experience working at a regulator highly desirable.
Benefits
  • medical, dental & vision coverage
  • 401(k)
  • life, accident, and disability insurance
  • wellness programs
  • paid time off packages, including planned time off (vacation), unplanned time off (sick leave), and paid holidays
Applicant Tracking System Keywords

Tip: use these terms in your resume and cover letter to boost ATS matches.

Hard Skills & Tools
legal adviceinternal investigationsregulatory inquiriesenforcement mattersrisk managementcompliance managementlegal judgmentbudget managementthought leadershipcapital markets
Soft Skills
independent handlingevaluating regulatory implicationsproactive legal advicecollaborationaccountabilityethical judgmentcommunicationproblem-solvinginfluencingsupervising