While most jobs on Wall Street require a tremendous amount of dedication, commitment, hard work and a plethora of knowledge, perhaps the hardest job of all is keeping all others above the law. Compliance officers have the difficult task of making sure companies or individuals do not break any of the complicated rules and regulations regarding trading. Recently, this task has come under enormous scrutiny as more and more compliance officers themselves are being targeted. New York Governor Andrew Cuomo has backed the principal financial regulator of New York in his quest to place more liability on the compliance officers. This has caused a certain uneasiness in the compliance officers’ ranks resulting in far less compliance officers available. The increase in liability has surely caused many changes on Wall Street.
One compliance officer who is at the forefront of protecting her company is Helane Morrison. Helane Morrison is currently the Chief Compliance Officer at Hall Capital Partners LLC. Helane does such a tremendous job at Capital because she has been on “both sides of the aisle.” Because of her job as the Regional Director at the San Francisco Office of the U.S. Securities and Exchange Commission, she has experience with enforcing compliance. Leading numerous investigations, including three that resulted in enforcement actions, Helane’s experience is second to none. Before her time at the SEC San Francisco office, Helane practiced law in California at a San Francisco Law Firm. Helane graduated from Northwestern University with a degree in Journalism before getting her J.D. at the University of California at Berkeley.
Helane has done a tremendous job at Hall Capital Partners LLC and it is no wonder why with her sparkling resume. While a considerable amount of pressure is placed on compliance officers, Helane Morrison should have no trouble at all dealing with it considering her past experiences. Look for Helane to continue the great work she has already done on her Bloomberg or by checking out the following article >> http://www.projecteve.com/helane-morrison-shattering-glass-ceiling-corporate-world/