The field of corporate compliance is one of the fastest growing fields in corporate America. Companies of all sizes in all industries need to have an eye on the regulatory landscape and how their business is going to be affected by the next regulatory change. Investment advisory and private equity firms are no different. In fact, investment firms and private equity firms need to be constantly aware of upcoming regulatory changes. The fact these firms are handling both consumer investment funds and corporate investments means the breadth of regulations that affect the firms are massive and complex. It takes a person with the ability to both understand the regulations as well as the effects of the regulations on the business to be a effective corporate compliance officer.
Helane L. Morrison effectively applies the rules to the businesses she serves, and she has her entire professional career. After Ms. Morrison graduated law school from University of California, Berkeley, Ms. Morrison had the opportunity to clerk for the United States Supreme Court Justice Harry A. Blackmun and the Honorable Richard A. Posner of the U.S. Court of Appeals for the Seventh Circuit. Once she finished these clerkships, Ms. Helane Morrison then moved into private practice where she assisted corporate clients in conducting internal corporate investigations and focused on the defense of private securities actions and U.S. Securities and Exchange Commission (SEC) matters. It was these experiences which lead Ms. Morrison to work for the SEC in their San Francisco office as head of enforcement, and eventually worked her way into being the REgional Director of the SEC’s San Francisco office.
Ms. Morrison joined Hall Capital Partners, LLC in 2007, and currently serves as a Managing Director, General Counsel and Chief Compliance Officer of the firm. Her varied experience from being a clerk at the US Supreme Court to overseeing the SEC Regional Office serves her well in understanding the various regulatory changes for the investment firm.