MFA Legal & Compliance New York 2025 - Speakers
May 13, 2025
Conference
New York Athletic Club
New York, NY
Explore sections
Matthew Bloom
Chief Compliance Officer and Deputy General Counsel – Regulatory and Litigation
Viking Global Investors LP
Matthew Bloom is Chief Compliance Officer and Deputy General Counsel – Regulatory and Litigation responsible for legal, regulatory, and compliance matters. Prior to joining Viking in 2013, Matthew was a Litigation Associate at Cravath, Swaine & Moore. He also served as a law clerk to the Hon. Joel M. Flaum of the United States Court of Appeals for the Seventh Circuit. Matthew received a J.D. from Yale Law School and B.A. in history from Yale College.
Matthew Bogart
Principal and General Counsel
AB Carval Investors
Mr. Bogart is the general counsel for AB Carval Investors. He oversees all of Carval’s legal and compliance matters across the globe. Prior to joining AB CarVal in 2007, Mr. Bogart was a partner at Faegre & Benson in Minneapolis where he practiced for 16 years, specializing in real estate, finance and joint venture law. He received his J.D. from the University of Iowa College of Law, graduating with highest honors, and his B.S. degree in marketing and accounting from the University of Colorado.
AB CarVal is an established global alternative investment fund manager focused on distressed and credit-intensive assets and market inefficiencies. Since 1987, AB CarVal’s experienced team has navigated through ever-changing credit market cycles, opportunistically investing $142 billion in 5,675 transactions across 82 countries. Today, AB CarVal has approximately $16 billion in assets under management in in corporate securities, loan portfolios, structured credit and hard assets.
Ben Freeman
General Counsel
Aperture Investors
Ben is the General Counsel of Aperture Investors, an alternative asset manager investing in various equity and credit strategies with offices in New York, London, and Paris. Prior to joining Aperture, he was Associate General Counsel at Corbin Capital Partners, an alternative asset management firm that specializes in multi-strategy hedge fund and opportunistic credit investing. Before his time at Corbin, Ben was an Associate in the investment management group at Debevoise & Plimpton. He earned a J.D. from Harvard Law School and a B.A. (cum laude) in Political Science and Hispanic Studies from Columbia University. He also holds the Chartered Alternative Investment Analyst (CAIA) designation.
Jason Gordon
Chief Compliance Officer
Cinctive Capital Management
Jason Gordon is the Chief Compliance Officer of Cinctive Capital. Jason previously served as the Chief Compliance Officer at Autonomy Capital. Prior to that he served as Chief Compliance Officer of FX Solutions and in various senior compliance roles at Prudential Global Investment Management—including Chief Compliance Officer for Prudential Private Placement Investors. He also was a Compliance Officer for Perella Weinberg Partners and National Life Group/Sentinel Investments. Jason has over twenty years of financial and regulatory compliance experience, including over fifteen years running compliance programs for investment firms. Previously in his career, Jason worked at Bear Stearns where he focused on institutional capital markets transactions. Jason earned a Juris Doctor from Baylor Law School. He also earned a Bachelor of Arts in Political Science, summa cum laude, from the American Jewish University.
Daniel A. Gutin
General Counsel and Chief Compliance Officer
Brinley Partners
Daniel Gutin is the General Counsel and Chief Compliance Officer of Brinley. Prior to joining the Firm in 2022, Daniel was a Managing Director and Associate General Counsel at Oak Hill Advisors, L.P., where he advised the firm and its principals on the formation and operation of its investment vehicles, regulatory compliance, investment structuring and other legal matters. Prior to that, Daniel was an associate in the private funds group at Simpson Thacher & Barlett LLP. Daniel received his Juris Doctor degree, magna cum laude, from the Georgetown University Law Center, where he was elected to the Order of the Coif, and a Bachelor of Arts degree, magna cum laude, in Political Science from the University of Pennsylvania.
Scott Hendler
Deputy General Counsel - Funds and Trading
Viking Global Investors LP
Scott Hendler is Deputy General Counsel – Funds and Trading at Viking Global Investors LP. Prior to joining Viking in 2017, Scott was an Executive Director in the Legal and Compliance division at Morgan Stanley, and an Associate at Cadwalader, Wickersham & Taft LLP and Skadden, Arps, Slate, Meagher & Flom LLP. Scott received a J.D. from the New York University School of Law, an MBA from Columbia Business School, and a B.A. in economics, summa cum laude, from Binghamton University.
Jamie Houghtlin
General Counsel and Chief Compliance Officer
Whale Rock Capital Management LLC
Jamie is the General Counsel and Chief Compliance Officer at Whale Rock Capital Management LLC. Jamie joined Whale Rock in 2017. Jamie has over 21 years of compliance and legal experience working in the financial services industry. Prior to joining Whale Rock, Jamie was a Vice President with responsibility for equity capital markets compliance at Wellington Management in Boston. Jamie previously held senior compliance and legal roles at Bain Capital, Lehman Brothers and JP Morgan. Jamie currently serves on the board of CSforMA, Inc. Jamie received a JD from Fordham University School of Law in 2002 and a BA from Middlebury College in 1997.
Brendan R. Kalb
Global General Counsel
ExodusPoint Capital Management
Brendan Kalb is the General Counsel of ExodusPoint Capital Management, LP. Prior to joining ExodusPoint, Brendan was a partner in the Investment Management Group at Morgan Lewis in New York. Prior to joining Morgan Lewis, Brendan was the General Counsel at AQR Capital Management, LLC, a quantitative registered investment adviser based in Greenwich, CT, where he was responsible for managing the full spectrum of the firm’s legal affairs. Prior to joining AQR, Brendan worked as an associate at the law firms of Willkie Farr & Gallagher and Seward & Kissel. Brendan received his JD from Cornell Law School and graduated magna cum laude with a B.A. in International Relations & Economics from the University of Pennsylvania. Brendan has served as a member of the Board of the Directors of the National Futures Association and as a member of the Managed Funds Association’s Investment Adviser and Government Affairs Committees, and as Chairman of the MFA’s CTA, CPO and Futures Committee. Brendan also serves on the Board of Advisors of the Institute for Law and Economics, a joint research center between the Law School, the Wharton School and the Department of Economics at the University of Pennsylvania
Courtney Lewis
Partner, General Counsel and Chief Compliance Officer
Marshall Wace North America LP
Courtney Lewis is a Partner at Marshall Wace North America, where she serves as General Counsel and Chief Compliance Officer. She is also a member of Marshall Wace’s global Operating Committee. Additionally, she serves as Vice Chair of the Managed Fund Association’s Advisers, Management, and Operations Committee. Before joining Marshall Wace, Courtney was the Chief Compliance Officer and General Counsel at Hound Partners, which was seeded by Tiger Management. She began her career at Systematic Financial Management, an affiliate of Affiliated Managers Group, as Compliance Officer and Counsel.
Courtney completed her Bachelor of Arts at New York University’s Gallatin School of Individualized Study and earned a Juris Doctorate with a Masters in International Political Economy and Development from Fordham University in New York. She is an adjunct professor at Fordham Law School’s Masters of Compliance program, where she also contributed to developing the online course curriculum in Investment Management Regulation. Furthermore, Courtney serves as the Board Chairperson of Literacy Partners, an adult literacy non-profit organization focused on making a two-generation impact on education.
Angela McCray
General Counsel
SurgoCap
Benjamin Morof
Chief Compliance Officer and General Counsel
Trexquant Investment LP
Mr. Morof joined Trexquant in 2019 after eight years as Chief Compliance Officer (CCO) and Counsel at a Chicago proprietary trading and private fund management firm. Previously he has served as CCO, and other roles, for professional traders, market makers, and retail options brokers and clearing firms since 2001. Mr. Morof received a JD from Washington University in St. Louis, after a Bachelor of Arts in English Literature and Rhetoric from the University of Illinois in Champaign-Urbana.
Andrew Nathanson
General Counsel and Chief Compliance Officer
Suvretta Capital Management, LLC
Andrew Nathanson is the General Counsel and Chief Compliance Officer of Suvretta Capital Management, LLC. Prior to joining Suvretta Capital, Mr. Nathanson served as Legal Counsel & Chief Compliance Officer for Mirae Asset Global Investments (USA). Mr. Nathanson earned his BS in economics from the University of Wisconsin-Madison and a J.D. from Suffolk University Law School.
Christie Oberg
Deputy Chief Compliance Officer
CarVal Investors
Ms. Oberg is a managing director and deputy chief compliance officer for CarVal Investors, and manages compliance matters across the globe, including registrations with securities regulators in the U.S., the U.K. and Singapore. Prior to joining CarVal in 2014, Ms. Oberg was an attorney with WilmerHale, specializing in securities regulation. Prior to that, she served as a law clerk in the U.S. Court of Appeals for the 10th Circuit. She received her J.D. from the University of Michigan Law School, graduating with highest honors. She also holds a Masters’ degree in Social Anthropology from Stockholm University and a B.A. in Theater from Oberlin College.
CarVal Investors is a leading global alternative investment fund manager focused on distressed and credit-intensive assets and market inefficiencies. Since 1987, our experienced team has navigated through ever-changing credit market cycles, opportunistically investing $113 billion in 5,320 transactions across 79 countries. Today, CarVal Investors has approximately $10 billion in assets under management in both credit and real estate strategies.
Mark Russo
General Counsel
ZAIS Group, LLC
Mr. Russo serves as General Counsel and a Managing Director at ZAIS Group, LLC. Mr. Russo was appointed General Counsel in April 2017. Before joining ZAIS in February of 2007, Mr. Russo was an attorney at Thacher Proffitt & Wood LLP in the Structured Finance Practice Group from 2004 to 2007. He received a B.S. with distinction from The Pennsylvania State University and a J.D. from St. John’s University School of Law.
Commissioner Mark Uyeda
U.S. Securities and Exchange Commission
Mark T. Uyeda was sworn into office on June 30, 2022. He was nominated by President Joseph Biden and confirmed by the U.S. Senate.
Commissioner Uyeda has served on the staff of the SEC since 2006, including as Senior Advisor to Chairman Jay Clayton, Senior Advisor to Acting Chairman Michael S. Piwowar, Counsel to Commissioner Paul S. Atkins, and various staff positions in the Division of Investment Management. He most recently served on detail from the SEC to the Senate Committee on Banking, Housing, and Urban Affairs as a securities counsel to the committee’s minority staff.
Prior to joining the SEC, Commissioner Uyeda served as Chief Advisor to the California Corporations Commissioner, the state’s securities regulator. He also worked as an attorney at the law firms of K&L Gates (formerly known as Kirkpatrick & Lockhart LLP) in Washington, D.C., and O’Melveny & Myers LLP in Los Angeles.
Commissioner Uyeda earned his bachelor’s degree in business administration at Georgetown University and his law degree with honors at the Duke University School of Law.
He is the first Asian Pacific American to serve as a Commissioner at the SEC.
Jeffrey H. Wechselblatt
General Counsel
Lone Pine Capital LLC
Jeffrey Wechselblatt is the General Counsel of Lone Pine Capital LLC, an investment adviser based in Greenwich, Connecticut. Prior to joining Lone Pine in 2007, Jeff was an associate at law firms in New York.
