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)