Women

Helane Morrison: A Look At Her Years With The SEC

When Brooklyn, New York native Helane Morrison took over as San Francisco’s SEC administrator it was a signal for local traders and anyone doing business in her jurisdiction to get and keep their ducks in a row. Morrison’s move from the San Francisco District Office of the SEC’s enforcement division to become administrator endowed her with more power to go after businesses with shady practices. That’s what she’s been doing ever since she joined the organization. Her promotion made it possible for her to expand the SEC’s presence and impact.

 

As SEC administrator Morrison took charge of the San Francisco office’s jurisdiction over both examination and enforcement programs. She was the first female chief of the district. Her district included Alaska, Idaho, Montana, Northern California, Northern Nevada, Oregon and Washington. Still, her plan was to keep the momentum the San Francisco office had created going. Since 1996 when she joined the SEC Morrison has overseen many major enforcement actions. Some of those investigations resulted in enforcement action against Dean Witter, California Micro Devices and Republic Securities of New York. During that time her staff doubled and the organizations workload increased tremendously.

 

Helane Morrison was San Francisco District Administrator for 6 years. After working with the SEC for 11 years, she resigned to become investment advisory firm Hall Capital Partners LLC’s chief compliance officer and general counsel. It was another great career move for Morrison. She had practiced law with San Francisco law firm Howard, Rice, Nemerovski, Canady, Falk & Rabkin for 10 years prior to working with the SEC. Her position with Hall Capital Partners enabled her to leverage the skills she gained through the years to ensure the company avoided issues with customers or regulators.

 

Morrison’s work at Hall Capital Partners has been so impressive she was promoted to managing director and made an executive council member. Not bad for a young woman that left New York to pursue a Journalism degree at Northwestern. During her time on the West Coast Helane Morrison has earned a Juris Doctor from the law school at University of California, Berkley. She has also clerked for U.S. Appeals Court judge Richard A. Posner and U.S. Supreme Court Justice Harry Blackmun. Morrison has also developed a reputation as a defender of the rights of consumers of all ages.

 

Helane Morrison has accomplished much and she continues to make her mark in the San Francisco area.

 

Compliance Officers Effecting Change

Corporate compliance is a hot button issue. People all over the world routinely complain about corporate malfeasance and the damage it does to people, communities, and the planet. This has led local, state, and national governments to craft and enact new laws and stiffer penalties for companies guilty of non-compliance in a number of areas. These changes can be expensive and companies are not taking them lightly. One of the most effective and proactive steps companies make is to hire compliance officers. And these compliance officers are effecting change in a number of significant ways that help both the companies, their customers, and the communities in which they does business.

Compliance officers help to craft policies and practices designed to protect the public from harm and the company from expensive litigation. Compliance officers are also charged with making sure those policies and practices are followed by all employees. It is often like management by walking around. An effective compliance officer not only creates policy, they study its viability and interact with employees at all levels to see if those policies and practices are being adhered to and how that is affecting the employees, the business, the customers, and the bottom line.

One company that made a brilliant hire at Chief Compliance Officer is Hall Capital Partners. They hired Helane Morrison, arguably the perfect compliance officer. Morrison as a law degree from the University of California, Berkley. She has worked for Appellate and Supreme court justices, and was a partner in the San Francisco based law firm Howard, Rice, Nemerovski, Canady, Falk & Rabkin. While all of this work gave Morrison a solid background to prepare her for the position of CCO of Hall Capital Partners, her next job made her the ideal candidate to become a compliance officer.

After 10 years with he law firm, Helane Morrison left to become the Securities and Exchange Commission’s San Francisco Regional Office’s head of regional enforcement. In that role she investigated companies throughout Alaska, Idaho, Northern California, Northern Nevada, Oregon, Montana, and Washington for signs of fraud, insider trading, and compliance with a whole host of laws. She was also in charge of the SEC’s examination and enforcement programs. After 11 years at the SEC, Helane Morrison left and became the CCO of Hall Capital Partners. Since 2007 she has helped the company to craft and continue to comply with the requisite laws.

Check out Helane Morisson‘s profile on LinkedIn.