JENNIFER BERGENFELD
FACULTY MEMBER

CURRENT LECTURING, TRAINING AND INSTRUCTION

Bekker Compliance Institute
Faculty Member and Instructor
2008 – Present

Jennifer is a Faculty Member and Instructor under contract with Bekker Compliance Institute (BCI). She provides specialized course preparation and classroom instruction to BCI’s financial services clientele.

New York University, Stern Graduate School of Business,
Adjunct Associate Professor for Professional Responsibility/Markets, Ethics & the Law.

Provide instruction for core MBA course and curriculum development using case study methodology, interactive learning and multimedia/technology approach. Supervise teaching assistants. Evaluate current business and management issues relating to governance and ethics.
Journal of Securities Law, Regulation & Compliance, Editor. Review and select contributions. Assist with editorial policy development. Write editorial content for upcoming issues. Maintain an up-to-date, accurate current awareness of global developments and other matters in the field. Research relevant laws and regulations.

BUSINESS LAW /REGULATION INDUSTRY

National Regulatory Services:
2007 – Present.

Presenter for Annual Compliance Conferences. Create educational materials and deliver interactive learning program for certificate candidates and established professionals.

Seminars and Educational Workshops:

Continuing Education/Professional Ethics for Attorneys and Compliance Professionals; Symposium on regulatory examinations and audits; Professional Development Workshop, Ethics for Compliance Professionals, Annual Spring Compliance Conference, Best Execution Regulation.

ACA Compliance Group
2007 -2008

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Provided webcast and in person lectures. Seminars: Understanding ERISA Issues Faced by Investment Advisers; Basic Investment Company Rules for Fund Advisers.

American Law Institute-American Bar Association,
January 2009

Lecture on Legal Ethics.

FRA LLC,
Summer 2009

Prepare materials and lecture for webinar series on business law and ethics. .

Freelance Tutoring and Educational Consulting,
1989-Present

  • Provide tutoring in French, English, Elementary Math, Algebra, SAT, GRE, GMAT, LSAT, MCAT (verbal portions), ACT and other admissions tests.
  • Guide pre-college and pre-graduate school students with school and course selection, admissions essay and interview preparation.
  • Special expertise with foreign students and those with learning disabilities.
  • Advise student clubs and lecture on college/graduate admissions.

    • PROFESSIONAL EXPERIENCE

    Various Consulting Assignments,
    September 2008 - Present, New York, New York

  • Prepared educational training materials for management and marketing professionals.
  • Present continuing education seminars for senior executives.
  • Advised legal and compliance consulting firm with regulatory analysis, legal contract review, conflicts and confidentiality arrangements, strategic partnerships, potential capital formation and exit strategies.
  • Evaluation of staffing, advisory board, governance infrastructure and marketing/RFP protocol.
  • Advise legal and compliance consulting firms with regulatory analysis and contract reviews.

    • Corporate Legal/Education Positions

    Created industry training programs and compliance education for on-boarding program and associates. Host and speaker for client symposium (2003-2008). Managed knowledge programs (co-sponsored by PLI and Lexis/Nexis) providing crucial legal and regulatory training to internal colleagues and management. Coordinated continuing education effort for lawyers, business and compliance professionals. Delivered in-person and webcast continuing education. Advised on regulatory continuing education requirements. Tutor staff on brokerage exam preparation. Developed written supervisory procedures, Code of Ethics, compliance manuals. Managed team of internal staff and consultants.

  • AllianceBernstein L.P. - New York, New York, July 2002 to September 2008
  • KBW Asset Management - New York, New York, June 2000 to June 2002.
  • PaineWebber, Inc. - Weehawken, New Jersey, June 1999 to June 2000.
  • Morgan Stanley Dean Witter & Co. - New York, New York, April 1998 to June 1999

    • COMMUNITY LEADERSHIP

  • Financial Women’s Association, 1999- Present, Volunteer, Wall Street Exchange Program Mentor for college students, guidance on career development and graduate school admissions. Provided business law educational lectures and curriculum development for inner city high school (Murry Bergtraum High School) and Baruch College.
  • Hadassah, 2006- Present. Local Board Member, Coordinator of career seminar, religious education and family programming.
  • Ohel Family Services, 2008, Respite Care Provider for child at risk under Child Protective Services Order. Liaised with social workers, Administration for Children’s Service personnel and legal counsel.
  • Association of the Bar of the City of New York, Young Lawyer’s Committee, 2000-2004, Annual Moot Court Coordinator, Responsible for preparing and executing national educational competition. Volunteer for disadvantaged student law program.
  • Dress for Success, 1998-2001. Volunteer for career planning and professional guidance.
  • New York City Panhellenic, 1990 – 2002, President and Chairperson, Served on local executive board responsible for annual scholarship committee and fund dissemination. Promoted graduate education and hosted career planning seminars.

    • EDUCATION

  • New York University, Master of Business Administration, January 2003. Beta Gamma Sigma Honors. Major in International Business/Management. Teaching Fellow/Lecturer for Professional Responsibility/Markets, Ethics & the Law. Research Assistant for several books and publications. Independent Research: Insider Trading, Financial Disclosure, Banking Operations, Sarbanes-Oxley, Finder’s Fees.
    Master of Arts, International Relations, May 1992. Thesis on transnational corporate governance.
  • Yeshiva University, Cardozo School of Law, Juris Doctor. June 1997. Coursework in corporate and securities law. Executive Editor, Journal of International and Comparative Law. Graduation Award for Best Published Note on South African investment regulation. Research Assistant. Moot Court Honors Society (Brief Writer).
    Internships: New York Stock Exchange (multi-jurisdictional regulatory investigations); Gordon Altman Butowsky Shalov & Wein (1940 Act/investment management); Duignan and Cella (1933/1934 Act litigation and regulatory) and Justice Charles E. Ramos (Commercial Part, New York State Supreme Court). Post Graduate Law Clerk for Political Campaign.
  • George Washington University, Bachelor of Arts. May 1990. Coursework in international affairs, economics and business. Obtained degree in three years. Phi Eta Sigma and Golden Key Honors. Certification in French business language fluency. Politics and Values Honors Program. Model United Nations Coordinator.
    Internships: World Bank (economic development project); Arnold and Porter Consulting Group (managed legislative lobbying project) and National Institute for Dispute Resolution (arbitration and mediation research project).

    • MEMBERSHIPS

  • Financial Women’s Association, Midtown Group
  • SIFMA
  • New York City Bar
  • 100 Women in Hedge Funds
  • Association of Corporate Counsel

    • LICENSES & CERTIFICATIONS

  • Admitted to New York State Bar, First Department
  • FINRA/NASD Series 7 and 63 licenses
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