Paul Taberner
Senior Vice President and Associate General Counsel, Wealth Management @Citizens
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WORK HISTORY
Senior Vice President and Associate General Counsel, Wealth Management @Citizens
Westwood, MA, US
Lead legal counsel to dynamic and growing national bank-owned Wealth Management business. Provide comprehensive advice to Wealth Management leadership and staff on a wide range of Broker-Dealer, RIA, and Trust legal and compliance issues. Assist Compliance, Risk, and Business clients in responding to regulatory requests and examinations. Draft Investment Management Agreements and Form ADV, Part 2A Disclosure Brochures. Provide guidance on all regulatory filings and disclosure documents, such as Forms U4, U5, and ADV. Provide advice on legal developments within the Wealth Management space, including the appropriate compliance and business approach to new rules and regulations. Provide strategic recommendations to Wealth Management leadership in connection with the transformation and expansion of the business. Manage external counsel in connection with various special projects.
EDUCATION
Quinnipiac University School of Law
J.D.
University of Massachusetts Amherst
B.A.
ABOUT PAUL TABERNER
I am a highly motivated, organized, and articulate attorney and manager with over 30…
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