Jennifer Bergenfeld, Esq.

Jennifer Bergenfeld, Esq.

Jennifer Bergenfeld is an experienced JD/MBA corporate and securities lawyer with a BD/IA transactional and regulatory focus.  She has 20+ years of tenure with big financial firms, as well as early-stage financial companies.  Most recently, Ms. Bergenfeld was Chief Legal Officer for HSBC Funds and, prior to that, at Emerging Managers Group Funds.  Before this, she worked at AllianceBernstein, Exchange Traded Concepts ETFs and Morgan Stanley.   Ms. Bergenfeld spent over a decade as an adjunct professor of business law and ethics for NYU's Stern School of Business. She then managed a corporate grant providing sustainability and corporate strategic guidance. Her expertise includes registered ‘40 Act, private equity funds, collective investment trusts, UCITS sub advisory and FINRA distribution, fintech/robo advisory and wrap product development. 

Ms. Bergenfeld has managed FINRA/SEC exams, internal and external regulatory and government investigations, remediations, contract negotiations and corporate governance matters. She is a frequent speaker on securities regulation, business development/entrepreneurship, ethics, contracts negotiations, corporate legal and regulatory compliance issues at conferences and executive training programs.  Furthermore, Ms. Bergenfeld has been recognized for her pro bono and community service work with law clinics and diversity and inclusion corporate grants.


Credentials

EXPERIENCE

HSBC/HSBC Securities US/HSBC Asset Management US, New York, NY, Chief Legal Officer (US Funds), Senior Legal Counsel/VP – investment advisory, 2013-2018

Exchange Traded Concepts ETF Funds/Yorkville Capital, New York, NY, Legal and Regulatory Counsel, 2011-2013

Emerging Managers Group, New York, NY, General Counsel/Chief Legal Officer, 2009-2010

Ocasio & Partners, New York, NY, Interim General Counsel Advisory Roles, 2008-2013

Aragon Partners, Counsel, 2008-2013

AllianceBernstein L.P., New York, NY, Counsel/Vice President, 2002-2008

Keefe Bruyette & Woods/KBW Asset Management, New York, NY, Regulatory Counsel/Assistant Vice President, 2000-2002

PaineWebber, Inc., Weehawken, New Jersey, Compliance Officer, 1999-2000

Morgan Stanley Dean Witter & Co., New York, NY, Associate, 1998-1999

EDUCATION

New York University– New York, NY, M.B.A., International Business/Management, January 2003, Beta Gamma Sigma Honors, Teaching Fellowship - Markets, Ethics & the Law, Research on corporate governance

Yeshiva University, Cardozo School of Law– J.D., June 1997, Journal of International & Comparative Law, Moot Court Honors Society,  Judicial Clerkship - Justice Ramos (Commercial Part, NY State Supreme Court).

New York University– New York, NY, Master of Arts, Politics/International Relations, Thesis on Transnational Corporate Governance, 1992      

George Washington University– Washington, D.C., B.A., International Affairs/French, May 1990

PROFESSIONAL QUALIFICATIONS / LICENSING

New York State Bar, First Department. Passed Series 7 and 63 examinations.

Regulatory Compliance Association, Chartered Regulatory Counsel (pending)

Member of: Midtown Regulatory Group, SIFMA, Association of Corporate Counsel, 100 Women in Hedge Funds, Highwater Women, RCA Women in Asset Management  

Automat:ee