Assistant Management

Jennifer L Barringer, Esq.

*** ******* **** ****, ***. 320, New York, New York 10024

Office: 212-***-**** Cell: 646-***-**** ********.*********@*****.***

Skills & Specialties

Admitted in New Jersey

Pro Hac Vice Admissions in NY & CA

Expertise in the creation and maintenance of regulatory compliance programs for Investment Advisers, Broker-Dealers and Hedge Funds

Comprehensive knowledge of Securities Exchange Act Of 1934, Investment Advisors Act of 1940, Dodd-Frank, the Volcker Rule, the Sarbanes-Oxley Act

Excellent verbal and written communicator with experience as a legal lecturer

Expertise developing compliance training seminars for marketing employees

Ability to evaluate changes in the regulatory environment and create responsive policies and processes

Authored numerous rulings on appeal from the SEC for the United States District Court for the District of New Jersey

Experience as Point-of-Contact for regulatory requests from the SEC, FINRA, CFTC, NFA and Exchanges, among others

Expertise in compliance testing, risk assessment and audit

Work Experience

S FILINGS, LLC – New York, NY

January 2017 - Present

Compliance Counsel

S Filings is a financial filing and reporting firm that specializes in business consulting solutions in the areas of regulatory compliance, legal, financial filings, accounting, technology and specialty staffing. A regulatory compliance counsel position responsible for effecting Blue Sky filings, Form D filings and other state exemption/notice filings for investment advisers, broker-dealers and public companies. Responsibilities include tracking events that give rise to specific filing obligations under relevant sections of the Securities Exchange Act of 1934 and the Advisers Act of 1940.

J.P. MORGAN CHASE – Jersey City, NJ / New York, NY

September 2015 – December 2016

Vice President - Global Asset Management Advisory Testing

A compliance testing position responsible for analyzing, assessing and evaluating myriad regulatory policies for the bank’s Global Asset Management division. Duties include conducting independent audits of the bank’s investment adviser compliance programs, conducting risk assessments and drafting evaluative reports regarding same. Responsible for maintaining current expertise of the federal regulatory environment in order to provide advice on the implementation of new regulations. Conduct ongoing monitoring of company platforms to ensure that they meet global standards and industry best practices.

Experience working in CATTS, Panda, Client Central and GEMS systems

Develop, implement and execute risk-based compliance testing to review and assess the effectiveness of the firm’s policies and procedures in compliance with all applicable regulatory rules, including developing corrective action plans for gaps identified from testing.

Communicate and report to compliance and business unit management on test findings and obtain consensus on corrective actions required and potential enhancements to policies and procedures.

Coordinate reviews with Investment Management testing personnel around the globe to ensure consistent implementation and adherence to firm testing policies and procedures and to share findings and refine processes, as needed.

Monitor and review current regulations to identify potential areas that may require testing to remain current with regulatory environment.

MISSION CRITICAL SERVICES CORP. – New York, NY

November 2014 to September 2015

Senior Compliance Consultant

A third-party consulting firm that specializes in the areas of regulatory compliance. Compliance consultant position that advises hedge funds, investment advisers, broker-dealers, mutual funds and other alternative and traditional asset managers, on all matters of regulatory law. Duties include the formation and maintenance of regulatory compliance programs, including the creation of manuals, policies & procedures and codes of ethics, offering and private placement memoranda, conducting top-down regulatory risk reviews, preparation of regulatory filings, practical training and continuing education. Responsible for conducting independent audits of a firm’s compliance program, designing comprehensive policies and procedures, as well as being available to administer and supervise any and all audits by the SEC, FINRA or other regulatory agency. Maintain current expertise on the regulatory environment and provide advice to firms on the implementation of new regulations such as Dodd-Frank, the Volcker Rule, the Sarbanes-Oxley Act and CFTC reform and conduct ongoing monitoring and supervision of company platforms to ensure they meet global standards. At minimum, duties include:

Monitor the regulatory environment to identify new rules & regulations and accordingly develop or revise policies, procedures, processes, training, etc. to ensure ongoing compliance for the firms;

Design and implement a risk assessment process to ensure that all existing and emerging compliance risks are appropriately identified and managed; this included assessing compliance risk at the law/regulation level as well as developing and implementing robust risk assessment methodologies;

Develop and maintain compliance policies and procedures relevant to the SEC, FINRA, CFTC/NFA, AIFMD, FATCA and state requirements, including Written Supervisory Procedures and Codes of Ethics;

Responsible for 38A-1 and 206(4)-7 Annual Reviews, in-house marketing materials and filings, including annual Compliance Manuals, DDQs, Form ADVs, Form 13s, Form PFs and all employee training manuals;

Administer the Compliance Training Program Seminars with respect to regulatory compliance to ensure that all relevant employees are appropriately aware of the applicable laws/regulations and policies, procedures and processes;

Preparation of all state-required blue sky filings;

Develop training curriculum as required by the Securities and Exchange Commission including Firm Element, the Annual Compliance Meeting, ethics, and other current topics;

Conduct Compliance Risk Assessments to determine the level of risk exposure, assess the effectiveness of the compliance control environment, and determine if any corrective actions are necessary; and

New investor AML and OFAC checks and compliance under the Money Laundering Control Act and PATRIOT Act.

SIO CAPITAL MANAGEMENT, LLC - New York, NY

January 2014 to September 2014

Chief Compliance Counsel

Legal counsel position advising a hedge fund on all matters of compliance law, including SEC, FINRA, CFTC, NFA, Blue Sky compliance, AIFMD and FATCA, among others. Author, monitor and update all internal compliance & employee manuals, policies & procedures, DDQs and marketing materials. As compliance counsel, responsible for all reporting obligations, ranging from Form ADV’s, 13H, 10-Ks, Form PFs, 8-Ks and proxy statements to security ownership filings. Responsible for maintaining and creating the fund’s compliance program in general.

LAW OFFICE OF JENNIFER LEE BARRINGER - New York, NY

March 2006 to December 2013

Trial Counsel / Compliance Consultant

Maintained a robust regulatory and securities practice, counseling a wide range of market participants in all types of securities and regulatory matters and transactions. Represented companies, officers, directors and underwriters in a broad range of claims asserted under the securities laws. Performed regulatory compliance responsibilities for investment advisers, broker-dealers, hedge funds and mutual funds under the Securities Exchange Act of 1934, Investment Advisers Act of 1940 and the Investment Company Act of 1940. Comprehensive knowledge of regulatory and securities laws, coupled with aggressive lawyering, a keen understanding of the relevant securities issues, along with a responsive and practical approach to litigation. Additionally, litigation consultant, lecturer and trial counsel for numerous cases, both criminal and civil. Notable cases include State of Florida v. Casey Anthony and State of California v. Barry Hawthorne Carlisi. Litigation work focused mainly in the areas of criminal defense work and cases where forensic science expertise was required.

WILLIAM H. BUCKMAN LAW FIRM – Moorestown, NJ

Partner/Managing Trial Attorney

August 2012 – December 2013

Partner and managing trial attorney for Mr. Buckman, a well-known litigator and former president of the NACDL (National Association of Criminal Defense Lawyers). The firm had a heavy emphasis on civil rights litigation and criminal defense. Duties included all legal strategies, in-court appearances, client contact, managing the office day-to-day, conducting legal research and motion practice.

STATE OF CALIFORNIA v. BARRY HAWTHORNE CARLISI – Ventura, CA

May 2011 to November 2012

White collar criminal defense case, involving numerous counts of conspiracy. Pre-trial responsibilities included all discovery, investigations, interviews and witness preparation. Trial duties consisted of motions in limine, voir dire, opening and closing statements, direct and cross examination of witnesses and jury instructions.

LAW OFFICES OF REITER & ZIPERN - Suffern, NY

January 2008 to September 2009

December 2012 to November 2013

Representation of financial institutions on regulatory and securities matters. Duties included all legal strategies, in-court appearances, client contact, legal research and motion practice. Additionally, responsible for all other litigation at the firm.

STATE OF CALIFORNIA v. PHILLIP SPECTOR II - Los Angeles, CA

July 2008 to March 2009

For the retrial of this case, one of only two trial attorneys representing Mr. Spector. Responsibilities included strategy, discovery, witnesses preparation and working closely with the forensic experts. Daily in-court appearances, argument, motions and memorandum, investigation and communication with the State.

STATE OF CALIFORNIA v. PHILLIP SPECTOR I - Los Angeles, CA

March 2006 to November 2007

Part of the defense team for Phillip Spector, a music mogul, charged with murder in Los Angeles County. The case was heavily weighted in forensic sciences. Responsibilities included organization of discovery (50,000 + docs), motion practice (including all writs and appeals), legal research, contact with the State, daily trial experience and organization of materials for the numerous forensic experts.

ALASKA PUBLIC DEFENDER AGENCY - Fairbanks, AK

April 2005 to March 2006

Assistant Public Defender

Responsible for a caseload of approximately 120 cases, both felony and misdemeanor. Sole client contact, in-court appearances, motions and memorandum, investigation and communication with the State. All trials that went to a jury verdict, both felony and misdemeanor, resulted in acquittal for the client. Daily trial/litigation experience.

April 2004 to August 2004

Responsible for all facets of case management for a caseload of approximately 75 misdemeanors. Duties included client contact, all in-court appearances, argument, motions and memorandum, investigation and communication with the State. Responsible for daily bail hearings, both misdemeanor and felony. Represented the agency in a variety of in-court appearances, including status hearings, trial calls and changes of plea. Argued and won a misdemeanor case as a matter of law, on an issue previously undecided in the State of Alaska.

HONORABLE FAITH S. HOCHBERG U.S.D.J. - Newark, NJ

September 2002 to May 2004

Judicial Clerkship

Researched for and wrote Unites States federal court appellate rulings on a variety of Securities and Exchange Commission administrative law decisions. Subject matter included complex regulatory, compliance and securities law, including alleged violations of the Securities Act of 1933, the Securities Exchange Act of 1934, insider trading violations, RICO and more. Legal documents included memorandum to the judge and draft-opinions. Attended and assisted in numerous in-court proceedings.

THE INNOCENCE PROJECT - New York, NY

September 2003 to May 2004

Student Case Worker

Researched and authored the various legal documents involved in Post-Conviction DNA Testing, including motions and memorandum. Researched policy issues on eyewitness testimony, prosecutorial misconduct and DNA statutes. Additionally, during the course of employment, attended myriad conferences on DNA evidence, blood and trace evidence, fingerprinting techniques, prosecutorial misconduct among others.

LAW OFFICES OF LINDA B. KENNEY - New York, NY

August 1998 to June 2000

May 2001 to September 2001

Legal Assistant/Summer Associate

As both a summer associate and legal assistant, researched and wrote for civil matters with a heavy emphasis on employment discrimination and civil rights cases with the law firm of Cochran, Neufeld & Scheck. Assisted attorneys in all phases of litigation and negotiation. Drafted numerous motions, complaints and briefs for both state and federal court. Assisted the attorneys with depositions.

Education

BENJAMIN N. CARDOZO SCHOOL OF LAW, New York, NY

Juris Doctor, May 2005

Honors: Competitively selected to work on the Innocence Project, Negotiation Seminar and the International Arbitration Clinic. Placed in top third of finalists in the 2002 Mediation Competition.

RUTGERS UNIVERSITY, New Brunswick, NJ

B.A., magna cum laude, double major in History and Political Science, May 2000

Honors: Dean’s List all semesters, Recipient of the Congressional-Bundestag Scholarship, Phi Beta Kappa

Languages and Skills

Regular commentator and legal analyst on Court TV for Ashleigh Banfield, “Open Court,” Jack Ford “Courtside,” and Jami Floyd “The Best Defense.” Other regular legal analyst spots include Fox News’ “Hannity,” “The O’Reilly Factor,” “Justice with Judge Jeanine,” “On the Record with Greta Van Susteren,” “Fox & Friends,” HLN’s “The Dr. Drew Show,” CNN and “The CBS Morning Show.”

member of Screen Actors Guild and American Federation of Television and Radio Artists

German language proficiency

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