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Bank Of America Assistant General Counsel GWIM Legal Team 
United States, New York, New York 
935773939

25.06.2024

Job Description:

Experienced attorney to support the retail sales and trading broker-dealer activities of Merrill Lynch’s Global Wealth and Investments Solutions group.

Job Description:

  • Providing primary legal support to Merrill’s broker-dealer equities sales and trading business.
  • Providing secondary legal support to Merrill’s fixed income sales and trading business.
  • Advising the business on SEC, FINRA, MSRB and SRO rules and regulations, with a particular focus on broker-dealer rules and regulations applicable to retail investor transactions.
  • Counselling the business on disclosure, transaction reporting and best execution matters.
  • Advising the business on regulatory matters pertaining to the above.
  • Participating in the review, policy and governance processes related to the above, working with business, risk and compliance partners across the organization.

Qualifications:

  • JD / LLB

  • A minimum of8years of experience as a practicing attorney.

  • Prior in-house experience is preferred.

  • Prior experience advising U.S. broker-dealers on sales and equity trading businesses is required.

Skills:

  • Detail-oriented, strong analytical and organizational skills.
  • Critical thinker and an effective communicator who can collaborate with others.
  • Willingness and ability to tackle new subject matters and develop new areas of expertise.
  • Team player with an ability to multitask, balance competing demands, and provide practical and actionable advice in a fast-paced environment.
  • Excellent drafting and negotiation skills, with an ability to communicate and apply complex concepts clearly and effectively to practical situations.
  • In-depth knowledge of U.S. securities laws and broker-dealer rules and regulations pertaining to trading and transaction reporting.


1st shift (United States of America)