Professionals

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Jennifer M. Riley, Esq.

Personal Information

  • Position: Of Counsel
  • Practice Area: Corporate & Securities
  • Phone: 212-203-3255
  • Email: jriley@frblaw.com

Professional Experience

Jennifer concentrates her practice in business law, banking, broker-dealer regulation, fintech, investment adviser regulation, and commercial transactions. Jennifer identifies and translates applicable laws, regulations, rules, and guidance into effective business strategies. She reviews and drafts agreements for a variety of clients, including financial services firms, SaaS providers, manufacturing firms, and other industries.

Jennifer counsels regulated financial firms and their registered employees through complex matters, including remediation efforts and targeted exams. She has designed and implemented compliance management programs and drafted policies, procedures, and training programs. Jennifer advises regional broker-dealers, their registered employees, and investment advisers with all aspects of regulatory compliance, internal reviews, and investigations involving the allegations of violative sales and trading conduct. She has prepared continuing membership applications, Form U4, and Form ADV.

In addition to her regulatory work, Jennifer is a skilled transactional attorney and has drafted, reviewed, negotiated, and advised clients on a variety of agreements, including derivatives agreements, platform agreements, NDAs, and other customer-facing documentation.

Outside of work, Jennifer is a volunteer lawyer with the New York City Bar Association.  Her hobbies include studying languages and traveling.

Education

  • Long Island University, BA in Political Science and Philosophy
  • Hofstra University School of Law, J.D.
  • New York University School of Law, LL.M

Bar Admissions

  • State of New York
  • United States District Court for the Southern District of New York
  • United States District Court for the Eastern District of New York

Areas of Concentration

  • Corporate & Securities – Corporate Counsel
  • Corporate & Securities – Mergers and Acquisitions
  • Corporate & Securities – Private Equity Advisory
  • Corporate & Securities – Securities Compliance

Contact Me