As Global Head of Compliance, Jennifer Connors is responsible for the oversight of registered broker-dealers, investment advisers and mutual funds throughout the US, Europe and Asia. Ms. Connors has worked extensively with emerging technologies utilized by broker-dealers including Electronic Communications Networks, Alternative Trading Systems, and proprietary and vendor-provided Order Management Systems.
Prior to joining E*TRADE FINANCIAL, Ms. Connors served Lehman Brothers as Senior Vice President responsible for all aspects of the Compliance Program of the US Equities Division of the Company. Prior to Lehman, she was the Head of Global Compliance and Associate General Counsel of ITG Inc., an institutional broker-dealer. Ms. Connors has also held Global Compliance and Legal positions with Nomura Securities International, Inc., Bank of New York ESI, Inc. and PaineWebber Inc. She is active in various securities industry groups, including serving as Chair of the NASD (now FINRA) District 10 Committee. She earned a JD from Fordham Law School after graduating summa cum laude from SUNY Albany.
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