Jennifer Connors served as counsel at Alston & Bird LLP in the Financial Services & Products Group and represented broker-dealers, investment advisers and other market participants on securities law and market regulation issues, with particular emphasis on broker-dealer registration and compliance issues, trading rules, alternative trading systems, electronic trading, cybersecurity, sales practice and anti-money laundering rules.
Jennifer’s extensive industry experience enables her to advise financial services firms on a wide array of regulatory issues and legal matters facing financial technology companies. Jennifer served as general counsel and chief compliance officer for REDI Holdings LLC, a leading financial trading technology firm, where she was responsible for all aspects of the firm’s legal and broker-dealer compliance functions globally. Jennifer also spent several years as global head of brokerage compliance at E*TRADE Financial and has more than 20 years of experience in legal and compliance roles at both bulge bracket firms and innovative financial technology companies including, Goldman Sachs, Lehman Brothers, ConvergEx and ITG.
In her previous compliance roles, Jennifer obtained a number of professional licenses recognized in the securities industry, including Series 7 (registered representative), Series 8 (sales supervisor), Series 14 (NYSE chief compliance officer), Series 24 (general securities principal) and Series 63 (uniform state representative).