Thomas G. Kennedy
Director
Citi Global Wealth Management
Citi Private Bank
Asset Management & Trust Compliance
Mr. Kennedy is a compliance official and lawyer with expertise in corporate governance, federal and state securities and banking laws and regulations, ERISA, anti-money laundering and U.S. sanctions programs, and fiduciary and investment risk management techniques. He has been with Citigroup for eight years.
He is responsible for the global coordination of Compliance Departments that oversee Citigroup Global Wealth Management’s (GWM) Asset Management and Trust businesses including advisory, discretionary and asset allocation managed separate accounts, domestic trust and global wealth structuring, and hedge fund of funds advisory products made available globally to clients of Citi Private Bank and Citi Smith Barney. He has also served the Director of Compliance for GWM Citi Private Bank’s U.S. Region and as the Chief Compliance Officer for Global Wealth Management’s hedge fund advisory business, Global Hedge Strategies, LLC.
Previously, he was a Senior Vice President and Head of Securities and Fund Services Compliance for Citigroup’s Global Transaction Services division within Capital Markets & Banking. His responsibilities included direct responsibility for the Compliance team in the U.S., Bermuda and Caymans, and for globally coordinating compliance for registered, unregistered and offshore funds administration, accounting and transfer agency, unit trust, employee benefit plan and insurance master trust, global custody and clearing, securities finance, and corporate trust and depositary receipts services.
Prior to joining Citigroup, Mr. Kennedy held similar compliance, risk and legal positions with JP Morgan Chase and Morgan Stanley and with the law firm Dewey Ballentine over a period of eight years. Mr. Kennedy is a frequent public speaker, and has been an active advocate for the industry with multiple efforts and groups in addition to his work with FIRMA. He has a BA in Criminal Justice from Iona College, and a law degree from St. John’s University School of Law. Mr. Kennedy, his wife Natale, and their two sons Shane and Christian, live in Rockville Centre, New York.