Attorney – Investment Management

$175,000 - $215,000 yearly
  • The Resume Review - Recruiting Department
  • Boston, MA, USA
  • Sep 23, 2022
Full time Legal

Job Description

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 legal support to Merrill’s broker-dealer sales and trading businesses for Equities and Fixed Income.
  • Advising the business on SEC, FINRA, MSRB and SRO laws, rules and regulations (including implementation of new requirements), with a particular focus on broker-dealer rules and regulations applicable to transactions with retail investors.
  • 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 in-house experience is preferred.
  • Detail-oriented, strong analytical and organizational skills.
  • Critical thinker and an effective communicator who can collaborate with others. 
  • 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.