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Experienced Capital Markets Attorney to support the retail sales and trading broker-dealer activities of Merrill Lynch’s Global Wealth and Investments Solutions group.
Primary responsibilities include:
Providing primary legal support to Merrill’s broker-dealer sales and trading businesses for Equities and Fixed Income.
Providing secondary legal support to Merrill’s Equities and FICC OTC derivatives businesses.
Advising the business on SEC, FINRA, MSRB and SRO laws, rules and regulations, with a particular focus on broker-dealer rules and regulations applicable to transactions with retail investors.
Advising the businesses on CFTC rules and regulations and ISDA transaction documentation.
Counseling 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.
A minimum of 10 years of experience as a practicing attorney.
Prior experience advising https://U.S. broker-dealers on sales and trading businesses is required.
Prior in-house experience is preferred.
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 https://U.S. securities laws and broker-dealer rules and regulations pertaining to trading and transaction reporting.
1st shift (United States of America)
Hours Per Week: