Compliance An Emerging Tend On Wall St

Posted on July 22, 2016 By

Compliance and Risk Officers are taking on broader roles on Wall Street. This is because of the need to ensure the financial markets remain strong and that investments continue to be profitable.

Helane Morrison is chief compliance officer at Hall Capital and is one of the individuals predicted to have an effect on the future of investing. She formerly headed the SEC Office in San Francisco, CA and was responsible for securities enforcement litigation among other things in Northern California.

She previously worked in private practice before that, and worked at a San Francisco law firm where she worked in defense of private securities litigation and also worked on internal investigations. Helane Morrison has a Bachelors Degree and a Law Degree and clerked for US Supreme Court Justice Harry Blackmun, and 7th Circuit Judge Richard A. Posner.

Hall Capital is Located in San Francisco, CA and works on investment advisory services among other things. The provide financial portfolio advice and they believe that compliance is an important of securities management and regulation. Morrison joined the firm in 2007 and is now a key player in the policing of financial markets in the Northern California area. She is a member of the Hedge Fund Subcomittee of the American Bar Association and is a speaker on topics in this area.



  1. Dolan says:

    The Wall Street Journal articles covers compliance officers growing engagement in this area, and points out that is an important area that Wall Street needs to cover in order to protect financial market prosperity. It is indeed what some academic writing company australia have done which is truly the thing needed.

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