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Helane Morrison Is Exhibiting the Growing Need for Compliance Officers


Helane Morrison is a member of the Executive Committee, of the Hall Capital Partners. Ms. Helene is also the Chief Compliance Officer, Managing Director and the General Counsel of the firm. She headed the San Francisco office of the U.S. SEC from 1999 to 2007; this was before joining the Hall Capital Partners LLC. Here she worked as District Administrator, and she was in charge of security enforcement’ regulatory matters and litigation in North California and five Northwest States.

Helane Morrison headed the enforcement for the San Francisco SEC office from 1996 to 1999. Ms. Morrison represented the SEC in legal matters and financial communities, also news media and other government agencies. Having acquired a J.D. from the University of California at Berkeley, School of Law, she joined the San Francisco law firm Howard, Rice, Nemerovski, Canady, Falk, and Rabkin. In 1991, she was given a partnership in the company.

Morrison had a B.S. in journalism from the Northwestern University. Helane is frequent speaker of matters related to compliance and legal problems affecting investment advisers and private capital.

From the above paragraphs, we see the work of Ms. Harrison as a compliance officer. The work of compliance officers is fast growing and gaining popularity worldwide. According to the Chief Executive Officer of the Society of Corporate Compliance and Ethics, Roy Snell, the work of a compliance agent is to implement a program of compliance, find and fix regulatory and ethical faults.
The officer of conformity uses simple tools such as; audits, risk assessment, education, and investigation. The compliance officer finds a problem, fixes it and ensures it doesn’t happen again. The career of compliance officer has risen from zero to tens of thousands s of compliance officers in just twenty years. More and more federal and state regulations and rules tripling down on businesses and this necessitate an increased need for compliance officers.

Most companies in the United States are multinational. Because of this, they require a compliance department that will deal with regulations, language difference and cultural difference in many countries. Following the rule of law is difficult in the United States as it is in many other countries.
As we observe, the compliance officer profession is not only growing locally but also internationally. Some universities are offering a degree program to those who are interested in the field of an agent of compliance.

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