8 days old

Attorney- Investment Mgt

Charlotte, NC 28230
**Job Description:**

This mid-level role supports Merrill Lynchs delivery of investment products and services to its retail brokerage and investment advisory clients. Depending on candidates credentials and level of seniority, the role will report to either the leader of the Managed Solutions Group legal team or the Global Funds legal team, both of which are part of the Investment Solutions Group legal team.

Responsibilities include:

Providing general legal and regulatory advice to the retail Merrill Lynch and Merrill Edge product business units on Investment Advisers Act, Investment Company Act and FINRA and SEC Rules and Regulations.

Advise clients on various aspects of investment advisory and brokerage product development and distribution as well as general fiduciary matters.

Client contracts and ancillary documentation, advice to the business on marketing materials and RFP response support, review and of product materials and disclosure documents for Merrill Lynch investment advisory and fund offerings.

Review and negotiate fund distribution and selling agreements.

Advise clients on matters relating to the ongoing operation of Wrap Fee programs, including corporate governance, regulatory examinations and enforcement proceedings and back office operational issues.

Other responsibilities include:

Providinglegal support to the ISG capital markets and alternative investments businesses, including advising on public securities offerings, secondary trading matters, the distribution of hedge funds and private equity funds, and the formation of feeder funds.

Enterprise Description:

Provides general legal counsel to AMGs investment management business as well as specific advice on products services and certain legal actions. Reviews legal contracts and documents. Directly or through staff conducts legal research. May represent the bank in legal actions. Individuals in this position typically have a minimum of six years of experience since admission to the Bar.

This position is posted as a more senior position but is flexible to be filled as a lower level position if the posted qualifications are met by a strong lower level applicant.

Required Skills:

A minimum of 5-10 years of relevant experience.

Candidate must be an effective communicator who is capable of collaborating with others.

Proficient knowledge of the Investment Advisers Act of 1940.

Working knowledge of the Securities Act of 1933, Securities Exchange Act of 1934, Investment Company Act of 1940, and SEC, FINRA and CFTC rules and regulations, including Regulation D private placement regulations.

Familiarity with investment products and investment advisory services targeted at retail investors, including suitability considerations.

Experience with advising on performance and marketing related materials under SEC and FINRA rules and regulations

**Posting Date** : 08/08/2018

**Location** :

Boston, MA, 100 FEDERAL ST (MA5100),

Charlotte, NC, HEARST TOWER, 214 N TRYON ST,

- United States

**Travel** : Yes, 10% of the time

**Full / Part-time** : Full time

**Hours Per Week** : 40

**Shift** : 1st shift

**Assistance for Applicants with Disabilities**

Bank of America is committed to ensuring that our online application process provides an equal employment opportunity to all job seekers, including individuals with disabilities. If you believe you need a reasonable accommodation in order to search for a job opening or to submit an application, please visit the Applicants with Disabilities page at http://careers.bankofamerica.com/us/applicants-with-disabilities .

**Diversity & Inclusion**

At Bank of America, our commitment to diversity and inclusion is helping us to create not only a great place to work, but also an environment where our employees, our customers and our communities around the world can reach their goals and connect with each other. All qualified applicants will receive consideration for employment without regard to race, color, religion, gender, gender identity or expression, sexual orientation, national origin, genetics, disability, age, or veteran status.

**Frequently Asked Questions**

Need to know how to apply online, view a list of your submitted job applications or reset your password? Visit our FAQ at http://careers.bankofamerica.com/us/faq section for answers to these questions and more.

Success begins with building relationships.

At Bank of America, our customers are at the center of everything we do. Our focus is on helping each one find the right financial solutions. With a wide range of career opportunities available, we invite you to realize your career goals with us while assisting customers with what matters most to them.

Welcome to Careers at Bank of America.

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Attorney- Investment Mgt

Bank of America
Charlotte, NC 28230

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