The DAG Attorney 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 Citi Global Wealth lines of business 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 Senior Counsel possesses industry experience, a working knowledge of financial products and industry terminology, and uses comprehensive analytical skills in order to filter, prioritize and validate potentially complex material from multiple sources. The DAG Attorney is responsible for managing a caseload of active matters with minimal oversight from more senior attorneys on the team. Matters may involve nuanced and variable issues, sometimes 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. 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 position 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. With guidance and oversight from senior DAG staff, the Attorney provides 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. Accordingly, well-developed and nuanced communication skills are required in order to influence others, including senior managers. In addition, the DAG Attorney may be responsible for responding to regulators and regulatory inquiries associated with customer complaints and sales practice matters.

Qualifications:

• JD and Requisite Bar Admission
• A minimum of 3-5 years of professional experience, including experience in the financial services industry
• Broker/dealer, investment advisor or securities litigation experience strongly preferred
• 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:

------------------------------------------------------

Time Type:

------------------------------------------------------

Primary Location:

------------------------------------------------------

Primary Location Salary Range:

------------------------------------------------------

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 .

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

View the .

View the Pay Transparency Posting