As head of the General Counsel's Organization (GCO), Kelli Smyth oversees the legal, compliance, and corporate governance functions of Citi Equity. With years of experience and dedication to her work, Kelli is committed to ensuring that the firm operates within the law and looks out for the rights and interests of its clients, investors, and employees. In this blog, we will explore Kelli Smyth's background, her role in Citi Equity, and her approach to legal and compliance functions. Background of Kelli Smyth Kelli Smyth earned her Juris Doctor degree from the Georgetown University Law Center. After completing her law degree, she began her career as an attorney in private practice, where she gained significant experience in mergers and acquisitions, securities law, and corporate governance. In 2003, she joined Citi Equity as an Associate General Counsel and quickly worked her way up to her current role as head of the General Counsel's Organization. As the leader of the GCO, Kelli Smyth oversees a team of attorneys and compliance professionals who advise Citi Equity on legal and regulatory matters. Her team's responsibilities include providing legal guidance on business transactions, managing regulatory compliance, and mitigating legal risks. Kelli Smyth's role is critical to the success of Citi Equity, as she ensures that the firm operates within the boundaries of the law while pursuing its business objectives. Kelli Smyth's Approach to Legal and Compliance Functions Kelli Smyth takes a proactive approach to legal and compliance functions at Citi Equity. She works closely with the firm's business leaders to identify potential legal risks and develop strategies to mitigate them. Her team regularly reviews Citi Equity's policies and procedures to ensure they are up-to-date and comply with applicable laws and regulations. Kelli Smyth also collaborates with external counsel to stay abreast of legal and regulatory developments that may impact the firm's operations. Under Kelli Smyth's leadership, Citi Equity has implemented robust compliance programs that include regular training for employees on various compliance topics. The firm's compliance program covers areas such as anti-money laundering, anti-bribery and corruption, and data privacy. Kelli Smyth ensures that the compliance program is tailored to the specific needs of Citi Equity and is regularly reviewed and updated to reflect changes in the legal and regulatory landscape. Kelli Smyth's commitment to legal and regulatory compliance is also evident in her work to promote ethical behavior and a culture of compliance throughout the firm. She encourages employees to speak up if they have concerns about potential legal or regulatory violations, and Citi Equity has implemented mechanisms to allow for anonymous reporting of such concerns. Kelli Smyth believes that a culture of compliance starts at the top and is essential to maintaining the firm's reputation and integrity. Conclusion Kelli Smyth's leadership of the General Counsel's Organization is critical to Citi Equity's success. Her proactive approach to legal and regulatory compliance ensures that the firm operates within the boundaries of the law while pursuing its business objectives. Kelli Smyth's commitment to promoting a culture of compliance throughout the firm is also noteworthy, as it reflects her belief that ethical behavior is essential to maintaining the firm's reputation and integrity. In conclusion, Kelli Smyth is a dedicated counselor who is committed to ensuring that Citi Equity operates within the law and looks out for the rights and interests of its clients, investors, and employees. Her leadership of the GCO is an example of how legal and regulatory compliance can be integrated into a firm's culture and operations, and her approach should be emulated by other companies that strive to maintain their reputation and integrity.