Bank Of America Assistant General Counsel GWIM Legal Team 

United States, New York, New York 

935773939

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)