Dispute Advisory Group Attorney - Senior Vice President

CitiTampa, FloridaFull TimeHybrid

The Dispute Advisory Group (DAG) Senior Lead Counsel I is a Senior Vice President level position responsible for providing legal guidance and thought leadership to the business.

The Dispute Advisory Group (DAG) Senior Vice President position supports all aspects of complaint-handling and pre-litigation disputes for Citi’s retail broker-dealer, CGMI, its Registered Investment Advisor, and its licensed insurance agencies. The DAG Attorney serves to provide advice and counsel to various lines of business including Citi Personal Wealth Management (CPWM), Citi Personal Investments International (CPII), and Citi Wealth Advisors – Asia (CWA Asia), regarding the handling of investment-related customer complaints. The DAG attorney is responsible for the oversight of all sales practice allegation investigations, and is individually responsible for the objective review and investigation of all matters involving written sales practice allegations. This process typically includes forming a tailored investigation strategy for each case, including the determination of the parties to be interviewed and conducting witness interviews, working with various internal and external parties to obtain relevant documents and other information, and engaging with internal partners such as compliance, investigative services, and product specialists as appropriate. Many of these matters involve high-profile customers and high-profile issues, sometimes garnering media inquiry and attention. The DAG Attorney is a subject matter expert with extensive industry experience, and uses comprehensive analytical skills in order to filter, prioritize and validate potentially complex material from multiple sources. At all times, the DAG Attorney is responsible for independently managing a caseload of active matters that typically involve complex and variable issues, often with substantial potential impact to the business, where development of an approach/taking of an action involves weighing various complex alternatives and balancing potentially conflicting needs. On occasion, the DAG Attorney Senior Vice President may provide guidance and oversight to less senior attorneys on the team. This position has the authority and expectation to independently investigate complex legal issues with significant potential impact to the business, advise the business regarding the recommended resolution of such issues, and effectuate the ultimate resolution of the matters.  Resolution may also include making referrals to other units such as Compliance, Human Resources, and Ethics, and may also involve interfacing and negotiating with the client, as well as preparing settlement documents and regulatory filings. The DAG Attorney is directly responsible for ensuring compliance with the Firm’s oversight of Sales Practice allegations with respect to customer complaints, and the DAG Attorney’s responsibility includes ensuring compliance with the Firm’s obligations as they related to the investigation and/or escalation of specified Sales Practice customer complaints under both the Minimum Retail Non-Deposit Investment Product (RNDIP) Sales Practice Customer Complaint Escalation Guidelines, and the Minimum RNDIP Sales Practice Customer Complaint Investigative Guidelines. The DAG Attorney provides the legal analysis for the business as to the potential exposure to the client from both a civil and from a regulatory perspective, and recommends the course of action. The DAG Attorney serves as a strategic legal partner and interfaces with business risk and management across various lines of business, including senior management as appropriate; and from time to time, also provides training and educational presentations to business partners. Accordingly, well-developed and nuanced communication skills are required in order to influence others, including senior managers.  In addition, the DAG Attorney is responsible for responding to regulators and regulatory inquiries associated with customer complaints and sales practice matters, and assists with the preparation of attendant regulatory filings.                        


  • JD and Requisite Bar Admission
  • A minimum of 7-9 years of professional experience in the financial services industry involving complex regulatory investigations, proceedings and/or securities litigation
  • Significant experience at a major law firm, regulator, and/or financial services company
  • Previous, in-depth exposure to securities markets and familiarity with securities transactions and various classes of securities
  • Experience working in a complex, demanding, fast-paced and entrepreneurial environment
  • Experience working at a regulatory agency would be a plus

The desirable candidate should possess the following personal characteristics:

  • Highest standards of integrity
  • Collaborative work habits – acting in the interests of a common cause and a true team player
  • A proactive, energetic and pragmatic approach to business and legal issues
  • Excellent communication skills – including the ability to explain technical matters to non-lawyers
  • The ability to successfully work with clients located in different locations (both within the US and around the world)
  • Ability to listen and understand the needs of the business and other internal clients, and to integrate legal and business issues


Job Family Group:



Job Family:

Legal - Product


Time Type:

Full time


Primary Location:

Tampa Florida United States


Primary Location Salary Range:

$163,380.00 - $245,070.00


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.

Citigroup Inc. and its subsidiaries ("Citi”) invite all qualified interested applicants to apply for career opportunities. If you are a person with a disability and need a reasonable accommodation to use our search tools and/or apply for a career opportunity review Accessibility at Citi.

View the "EEO is the Law" poster. View the EEO is the Law Supplement.

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