Helane Morrison Leads the Way in the Compliance Field

Helane Morrison is Chief Compliance officer of Hall Capital Partners, LLC. Hall Capital Partners is the largest advisory firm in San Francisco. It’s with this firm that she was able to gain notoriety and trust as a leader in the compliance arena. She has been instrumental in creating an environment of regulatory compliance, accountability and integrity among members of the corporate world.

One of Morrison’s primary tasks is recommending mutual fund and financial advisors as well as brokerage funds to her corporate clients. She and her staff put these resources through a rigorous investigative process. It’s important that they are reliable and trustworthy financial resources that can be used to manage her clients’ money. To insure that the best choices are being referred, the resources that are suspected of anything improper are subjected to disciplinary actions ranging from simple corrections to criminal prosecution.

Before starting her career in compliance she worked at the law firm, Howard, Rice, Nemerovski, Falk and Rabkin. For ten years she practiced law focusing on business litigation, private securities, corporate investigations and SEC issues. In 1991, she made partner and resigned five years later in 1996. To capitalize on her growing expertise in the field of compliance, her next position was in the Securities and Exchange Commission.

Enforcing compliance in corporate America is her focus probably because she has a strong background in the field. She was the Regional Director of the Securities and Exchange Commission (SEC) from 1999 to 2007 working out of San Francisco. During her tenure, she oversaw fraud cases against the top executives of Fortune 500 companies. A case she was instrumental in bringing to a just conclusion was the prosecution of American Amicable, an insurance company accused of selling faux securities to 50,000 military personnel. Her territory covered five North Western states which included northern California, Washington, Oregon, Montana, Idaho and Alaska. Throughout her employment with the SEC, she worked with government agencies and financial corporations handling business matters and legal issues.

Helane Morrison is at the pinnacle of a promising career in compliance. As she climbs the corporate ladder, there appear to be many more opportunities for her to aspire to and obtain. She has earned the appreciation of her peers and the leaders in the industry.