Citizens Bank

4 weeks ago

Assistant General Counsel

✓ Verified Job

Canonical indexed version, validated from employer's careers page.

Source: Company careers pageValidated by: Fursa AI

Last checked: 14 hours agoStatus: Live

Job Summary

Motivated attorney providing legal support to Citizens Bank’s Wealth Management division, advising on fiduciary, advisory, and brokerage matters across trust and investment platforms. Work with compliance, risk, and business teams to interpret fiduciary duties, regulatory requirements (OCC fiduciary rules, Investment Advisers Act, FINRA/SEC rules), negotiate agreements, respond to examinations, and support growth of wealth management services.

Location: United States

Workplace: Onsite

Employment Type: Full time

Job Function: Legal, Risk & Compliance

Key Responsibilities

•Provide legal support to wealth management, trust, fiduciary, investment advisory, and brokerage businesses, including interpretation and application of fiduciary principles and duties; advice on advisory and brokerage service models and related regulatory requirements; review and drafting of policies, procedures, and client documentation.
•Advise on regulatory requirements applicable to fiduciary and investment activities, including 12 CFR Part 9 (OCC fiduciary activities), Investment Advisers Act of 1940, and broker-dealer regulatory framework (SEC and FINRA rules)
•Support compliance and risk management initiatives related to fiduciary operations, advisory programs, and brokerage offerings
•Assist in responding to regulatory examinations, audits, and inquiries (OCC, SEC, FINRA)
•Review and negotiate agreements related to investment advisory services, brokerage and custody arrangements, and fiduciary services with third-party providers

Key Requirements

•3-5 years of legal experience in the RIA, Broker-Dealer, and/or Trust and Fiduciary space, preferably at a law firm or larger financial institution.

Experience:3-5 yearsWealth managementFiduciaryTrustBrokerageInvestment managementFinancial services

Education:PhD / Doctorate

Skills:NegotiationCommunicationAttention to detailTeamworkCollaboration

Certifications:Bar admission (US)

Languages:English

Company Brief

Citizens Bank

Regional bank offering retail and commercial banking, mortgage lending, wealth management, and payment services to individuals and businesses across the United States.

Industry: Banking

Company Size: Enterprise (1,001+ employees)

Revenue: USD 1B+

Growth: Public Company

Valuation: Public Company (Market Cap in USD)

Funding: IPO / Publicly Listed

Headquarters: Providence, United States

Founded: 1828

Website

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Citizens Bank

4 weeks ago

Assistant General Counsel

✓ Verified Job

Canonical indexed version, validated from employer's careers page.

Source: Company careers pageValidated by: Fursa AI

Last checked: 14 hours agoStatus: Live

Job Summary

Location: United States

Workplace: Onsite

Employment Type: Full time

Job Function: Legal, Risk & Compliance

Key Responsibilities

•Provide legal support to wealth management, trust, fiduciary, investment advisory, and brokerage businesses, including interpretation and application of fiduciary principles and duties; advice on advisory and brokerage service models and related regulatory requirements; review and drafting of policies, procedures, and client documentation.
•Advise on regulatory requirements applicable to fiduciary and investment activities, including 12 CFR Part 9 (OCC fiduciary activities), Investment Advisers Act of 1940, and broker-dealer regulatory framework (SEC and FINRA rules)
•Support compliance and risk management initiatives related to fiduciary operations, advisory programs, and brokerage offerings
•Assist in responding to regulatory examinations, audits, and inquiries (OCC, SEC, FINRA)
•Review and negotiate agreements related to investment advisory services, brokerage and custody arrangements, and fiduciary services with third-party providers

Key Requirements

•3-5 years of legal experience in the RIA, Broker-Dealer, and/or Trust and Fiduciary space, preferably at a law firm or larger financial institution.

Experience:3-5 yearsWealth managementFiduciaryTrustBrokerageInvestment managementFinancial services

Education:PhD / Doctorate

Skills:NegotiationCommunicationAttention to detailTeamworkCollaboration

Certifications:Bar admission (US)

Languages:English

Company Brief

Citizens Bank

Regional bank offering retail and commercial banking, mortgage lending, wealth management, and payment services to individuals and businesses across the United States.

Industry: Banking

Company Size: Enterprise (1,001+ employees)

Revenue: USD 1B+

Growth: Public Company

Valuation: Public Company (Market Cap in USD)

Funding: IPO / Publicly Listed

Headquarters: Providence, United States

Founded: 1828

Website