Attorney - Capital Markets

1 month ago


Charlotte, North Carolina, United States Bank of America Full time

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.Participating in the review, policy and governance processes related to the above, working with business, risk and compliance partners across the organization.Prior experience advising U.S. broker-dealers on sales and trading businesses is required.In-depth knowledge of U.S. securities laws and broker-dealer rules and regulations pertaining to trading and transaction reporting.



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