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Assistant General Counsel, GWIM Legal Team
3 months ago
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 of 8 years 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.
Minimum Education Requirement: Juris Doctor or LLB
Shift:
1st shift (United States of America)Hours Per Week:
40