Helane Morrison in enforcing compliance in the Corporate World

Helane Morrison is the Chief Compliance Officer of one of the largest advisory firm in San Francisco, Hall Capital Partners LLC and also a member of the company’s Executive Committee. Hall describes how people lost their trust in the financial industry due to the economic crash of 2008. People began to place their finances in their hands. After that phase, however, Hall has come to rescue the public through enforcing accountability, integrity and regulatory compliance on all dealings.

Morrison is one assertive, sharp, firm and hardworking lady who has created a great impression in the compliance field. Morrison insists that every investment they make for their client is solid and ethical. Hall’s team of professionals ensure that every brokerage firm, financial advisor or mutual fund advisors the firm chooses goes through thorough investigations before being trusted with clients’ money. Morrison has a team of enforcement staff. After an anomaly is suspected, the team enforces disciplinary action which will involve correction practices to pressing criminal charges.

Before joining Hall Capital in 2007, Morrison was heading (“SEC”) the San Francisco Office of the U.S. Securities and Exchange Commission from 1999-2007. Her work involved enforcement of securities, litigation matters, and regulatory compliance in Northern California and five Northwest States when she was the Regional Director. Morrison represented the SEC in legal issues, business relations and financial communities and government agencies. During her time in SEC, she dealt with fraud cases involving top executives from top companies like Google, Hewlett-Packard, NextCard Inc, and HBO. She also exposed the deceptive sale of false securities by the insurance company American Amicable to over 50,000 military personnel.

Before joining SEC, Helane practiced law at Howard, Rice, Nemerovski, Canady, Falk & Rabkin from 1986-1996 where she was promoted to be a partner in 1991. Her work involved business litigation, defense of private securities, internal corporate investigations, and SEC matters. Earlier she was a law clerk to Harry A. Blackmun and before this at Hon. Richard Posner of the U.S. Court of Appeals.

Ms. Morrison is a seasonal speaker on issues on compliance and legal matters arising from investment advisories. In Regional Parks Foundation, she is a member of the Board and to the American Bar Association, she is a member of the Board. Ms. Morrison

Completed her Bachelor’s Degree in Journalism at Northwestern University, Illinois. She then went on further studies at the University of California Berkeley School of Law.

More about Helane Morrison enforcing legal compliance.

Helane Morrison Is Among Concerned Compliance Officers

There are a lot of concerned compliance officers in the business world, and they include Helane Morrison at Hall Capital. Helane Morrison is one of the first women to have the job she has, and she is one of the first women to do so as a lawyer. Helane is a trailblazer because she has her law degree and climbed the ladder to get to where she is. She is working at the highest levels of Hall Capital, and she sees the concerns people have about greater Department of Justice inquiry into business.

Every large business is used to having someone from the DOJ checking on them, and that is just good business for everyone, but there is a new report stating that a lot of compliance officers are concerned about how much scrutiny they will be under. They want to do right by everyone, but they do not want all the extra tension to get in the way of everyone doing their jobs. There comes a point where people start to walk on eggshells, and no one wants that.

Helane Morrison has been running a very diverse operation at Hall Capital that includes a lot of different people who are trying to make the most of their opportunities. She wants to make sure that Hall Capital does very well every day, and she also wants to make sure that the company is complying with DOJ regulations. She welcomes the DOJ to see what her company is doing, but she does not want too many cooks to spoil the pot.

Everyone who does a job like Helane Morrison wants to make sure that they are doing the right thing, but the right thing can be hard to do when there are a lot of new levels of work that people never did before. The new director of the business programs at the DOJ could make more work for everyone, but these compliance officers will still figure it out.

Each of these people like Helane Morrison wants to make sure that they are running their company the right way, but they also want to make sure the process is not so difficult that it cannot be completed. Helane Morrison is a brilliant business woman and lawyer who wants to help, and she does so every day. She is going to follow the new DOJ guidelines, and her new input will likely help Hall Capital and government get work done efficiently.
Connect with Morrison on LinkedIn.