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Assistant General Counsel, GWIM Legal Team
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- Experienced attorney to support the retail sales and trading broker-dealer activities of Merrill Lynch’s Global Wealth and Investments Solutions group.
- 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.
- Participating in the review, policy and governance processes related to the above, working with business, risk and compliance partners across the organization.
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