Jennifer A. Connors
Jennifer Connors is a New York financial services regulatory attorney who represents broker-dealers, registered investment advisers, alternative trading systems (ATSs), financial technology (FinTech) companies and other financial market participants on securities law and regulatory matters. Ms. Connors' practice has a particular emphasis on broker-dealer regulation and compliance issues, trading rules, electronic trading, cybersecurity, sales practices and anti-money laundering (AML) rules. She also advises FinTech companies and fund management clients with respect to a broad range of regulations pertaining to digital assets, payment services and money transmission, as well as securities offerings and private placements.
In addition, Ms. Connors regularly counsels clients on U.S. Securities and Exchange Commission (SEC) and Financial Industry Regulatory Authority (FINRA) inquiries, enforcement matters and examinations, as well as continuing and new FINRA membership applications.
Ms. Connors has more than 20 years of experience in legal and compliance roles at both global financial services firms and innovative FinTech companies, where she has served as both a general counsel and chief compliance officer. In these roles, she developed comprehensive written supervisory procedures (WSPs) and training programs for brokerage personnel, and served as a key liaison with global financial industry regulators. In addition, Ms. Connors has drafted and negotiated vendor agreements, technology license agreements and electronic-access and trading agreements within the context of a FinTech startup.
Prior to rejoining Holland & Knight, Ms. Connors was a New York financial services attorney for an international law firm. Ms. Connors is a frequent speaker and author of thought leadership articles pertaining to regulation of securities and digital assets.
- Fordham University School of Law, J.D.
- State University of New York at Albany, B.A., English, summa cum laude
- New York
- Supreme Court of the State of New York, First Judicial Department
- Securities Industry and Financial Markets Association (SIFMA), Compliance and Legal Society, 1995-Present
- SIFMA, Compliance and Regulatory Policy Committee, 2011-2012
- SIFMA, Cross-Border Wealth Management Advisory Group, Co-Chair, 2011-2012
- Financial Industry Regulatory Authority (FINRA), e-Brokerage Committee, 2010-2012
- National Association of Securities Dealers (NASD), District 10 Advisory Committee, 2002-2005; Chair, 2004; Vice Chair, 2003
- Pajama Program (Non-Profit), Board of Directors, 2017-2020
- Fordham Urban Law Journal
- Chambers USA – America's Leading Business Lawyers guide, Financial Services Regulation: Broker Dealer Compliance, 2018, 2019
- Phi Beta Kappa