The Need for Compliance Officer as a Head of Heavily Regulated Industry

Compliance Officer Responsibility is to ensure custodian of ethical and regulatory problems. The Profession is widely growing though it had been new in the market, and the demand arising from specified Companies. The prime duty is to implement a compliance program that would find, correct and prevent problems by employing the use of tools such as Audit, analysis and education, and risk assessment. Compliance Officer is to play as surveillance to ensure when the problem is detected it is ratified with immediate effect. Helane is the Managing Director and Compliance Officer of Hall Capital Partners LLC


The demand for the federal and state laws and regulation for more Compliance officers is primarily growing due to development in business that requires the functions of compliance. According to Cathy Mackenzie, Compliance as a career path is the best option due to its demand that is spreading at a greater rate. Cathy being the Vice President of Island View Casino Result focuses on ensuring surveillance of employees to ensure performance and acquiring necessary documents for the operation of gaming business like license of operation and staff’ working permits. She also establishes a program that prevents company deviating from the state rules.


For one to be a Compliance office is not directly pooling them from other close related profession like accounting or legal, but one has to be trained and get certified as a member. This has seen the number of certified professional compliance officer raised from zero to 10% in the United States, 1000 outside the U.S., and has reached 75 countries. The membership includes attending a conference that equips leaders with the ideas on how to influence compliance in their leadership.


Helane L. Morrison is the Managing Director and the General Counsel of Hall Capital Partners LLC. She is the Chief Compliance Officer and also serves on the Executive Board Committee. Ms. Morrison is a lawyer and worked as the first District Attorney in San Francisco and also as a director for Securities Exchange Commission (SEC). Helane was in charge of enforcement and examination of prevention program within the Region’s jurisdiction that included Seven Region within San Francisco.


After Serving as District Officer, she resigned from her Job and worked as a Partner, who represented clients indicted by SEC for failing to comply with SEC regulations. Helane acted on behalf of Company security officers in SEC examinations.

A Plight Against Corruption and Indifference

A global financial crisis. Many despair ridden individuals and a shot economy that left them to fend for themselves. A recent article published by Project Eve stated that it was considered the worst economic nightmare since the Great Depression, which nearly crippled America’s economy and unleashed a fury of corruption that caused consumers to revoke their confidence in everything from banks, investments, and Wall Street itself. And the trepidation has not eased one bit. Fast forward to present day and one will see that Helane Morrison is gunning to not only clean up the mess, but reverse the massive damage it has since inflicted on America. Summoned by the United States government, Morrison was granted authority to safeguard the various transactions between that of corporations and normal people against industry deception, resulting in a fortified moral practice under law. Since then, Morrison has genuinely pursued dispensing with gender inequality within the work force, paying close attention to the way men and women lead and conduct business and devising improvements if needed. A savior of all sorts with a stellar track record, it is evident that the main focus of Morrison’s life is the maintaining of justice. 

Helane Morrison was born and raised in Brooklyn, New York. A journalism graduate from Northwestern University of Illinois, she shifted to law at the University of California Berkley, and earned Juris Doctor Degree. Her education would be put to good use when she would eventually serve as an Editor in Chief of the law review of the college, work as a law clerk for the US Court of Appeals, and go on to work alongside Supreme Court Justice Harry A. Blackman. Blackmann, a man of sincere character, set into motion the preceding factors that would motivate Morrison to venture out and and do what he did, but in her own way. And with the power she’s been fortunately awarded, there has been no stopping her from doing carrying out lawful wishes and being a functioning and contributing member of society. 

A managing director, general counsel, and chief compliance officer, Morrison is also currently a member of the Board of Regional Parks Foundation and the Hedge Fund Subcommittee of the American Bar Association.

Check out Helane’s Bloomberg business profile or visit her LinkedIn profile here to connect with her: