Helane Morrison is a corporate compliance officer and her role is enforcing Corporate Compliance & Ethics through preventing, finding and fixing ethical and regulatory problems. A compliance officer uses tools such as audits, risk assessments, investigations and education to determine legal compliance of the procedures being taken. Compliance field is relatively new, and most Universities around the world have lately started offering it as a degree program.
Roy Snell, is the CEO of the Society of Corporate Compliance & Ethics, a non-profit professional membership organization said that the profession has grown in just 20 years from none to thousands of compliance officers with different functions. The field is expected to grow more as more federal rules and regulations are being formed on businesses. The need for compliance officers will increase.
Helane Morrison is a General Counsel, Managing Director, and Chief Compliance Officer of Hall Capital Partners LLC. Helane Morrison is a member of the company’s Executive Committee. The firm is run entirely by women, President Sarah Stein, Co-Chief Investment officer Kathryn Hall and Helane Morrison as the Chief Compliance Officer. The company is working to regain the trust of the people that was destroyed in the financial crash of 2008. During this time, the industry had wasted the trust of clients. The firm aims at ensuring accountability, integrity and regulatory compliance from all their workers and their dealings. They are focusing some percentage of their work on the protection of investment management of major foundations and endowment funds.
Before joining Hall Capital in 2007, she headed the San Francisco Office of the U.S. Securities and Exchange Commission (“SEC”) between 1999-2007. Ms. Morrison was responsible for enforcing securities, Litigation, regulatory matters in Northern California and five Northwest states in her capacity as District Administrator and thereafter as the Regional Director. She represented the SEC in financial communities, legal, business, government agencies and news media.
Before joining SEC, Helane practiced law at Howard, Rice, Nemerovski, Canady, Falk & Rabkin in San Francisco from 1986-1996. She was elevated to partner in 1991. She was focusing on business litigation, defense of private securities actions, internal corporate investigations, and SEC matters. Before joining the private law firm in 1986, she was a law clerk for Supreme Court Justice Harry A. Blackmun between 1985 and 1986 and between 1984-1985, she was at Hon. Richard A. Posner of the U.S. Court of Appeals.
Ms. Morrison is currently a member of the Board of the Regional Parks Foundation. She is a speaker on the topics of compliance and legal issues affecting investment advisers and private funds. A member of the Hedge Fund Subcommittee of the American Bar Association.