Citigroup Vice President/Analyst - Fiduciary Specialist (40 Act) in Boston, Massachusetts
Job Summary: Assist with the provision of corporate secretarial, compliance and operational risk services to registered investment companies by applying knowledge of the Investment Company Act of 1940, as amended (the “1940 Act”), the Investment Advisers Act of 1940, as amended, and other relevant securities laws.
Essential Duties and Responsibilities : In addition to the tasks listed below, all employees at Citi are required to approach these tasks using the suggested behaviors in Citi’s publicized document called “How We Do Business”. This document describes how a successful employee is expected to perform tasks assigned to them.
Regulatory Administration Responsibilities:
Assist client lead with the preparation and revision of registration statements and amendments thereto. Assist with the timely filing, printing and distribution of prospectuses, statements of additional information and supplements.
Assist client lead with the preparation of proxy statements as well as the timely filing, printing and distribution of such documents. Assist with the preparation of shareholder meeting documents, vote reports and draft minutes. Work closely with proxy solicitor in monitoring votes received and solicitation process.
Assist with the preparation of fidelity bond and D&O/E&O insurance coverage applications. Facilitate the accurate filing of certain related documents with the SEC.
Draft agendas, resolutions and memos for board and committee meetings in consultation with client and fund counsel.
Manage the preparation, production and distribution of board meeting materials working closely with internal and external contacts throughout the process.
Assist with and/or manage additional projects and tasks at the direction of team leader, client or fund counsel.
Maintain current knowledge and understanding of regulatory developments and industry best practices.
Attend and actively participate in department trainings, including presentations, as assigned
Actively participate in the development and presentation of thought leadership pieces and webinars, as assigned.
Share knowledge and skills with department; recognize and leverage the contributions of others.
Communicate priorities, expectations and standards in a timely and complete manner.
Pursue the ongoing support, maintenance and use of the Fund Governance Portal and similar applications for both internal and external client purposes. Act as lead manager of applicable governance site for each assigned client.
Demonstrate initiative in the accomplishment of all projects and duties as well as energy and enthusiasm for all projects, tasks and duties.
Consistently meet deadlines, seek feedback on performance and results. Accept responsibility and account for his/her actions.
Perform such other duties as assigned.
Compliance/Risk and Control Responsibilities:
Identify and analyze key controls within the Regulatory Administration and ETF Transfer Agency departments
Present compliance and Quality Assurance testing results to management
Evaluate program results and apply risk methodology to compliance procedures established by the department
Assist with the review of existing controls and implement changes as agreed upon with management
Assist with the production and review of documents for internal audits, Citi regulatory examinations, SOC 1 and other external examinations, including SEC examinations as agreed upon with management
Assist with and participate in client visits and fund compliance program reviews
Identify and analyze business risks to establish a plan to prioritize and review implementation of any agreed upon changes
Perform such other duties as assigned
Minimum Bachelors Degree with 2 – 5 years related experience.
Ability to communicate effectively with others orally and in writing across all levels of Citi and client organizations
Ability to complete assigned tasks under stressful situations, find solutions for or deal proactively with work-related issues and formulate sound decisions using available information.
Exceptional candidates who do not meet these qualifications may be considered for the role provided they have the necessary skills.
Job Family Group:
Product Management and Development
Citi is an equal opportunity and affirmative action employer.
Qualified applicants will receive consideration without regard to their race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran.
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Citi is an equal opportunity and affirmative action employer. Minority/Female/Veteran/Individuals with Disabilities/Sexual Orientation/Gender Identity.
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