Description:
Working at An American Multinational Investment Bank & Financial Services Holding Company will give you a great career with opportunities to learn, grow and make an impact, along with the power to make a difference. Join us!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.
Qualifications:
- A minimum of 10 years of experience as a practicing attorney.
- Prior experience advising 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 U.S. securities laws and broker-dealer rules and regulations pertaining to trading and transaction reporting.
Shift:
1st shift (United States of America)
Hours Per Week:
40
