Securities America has named Denise Morrison as its new chief compliance officer and member of its executive leadership team, company officials said Thursday.
Morrison, 36, will be responsible for leading the La Vista, Neb.-based firm's strategic direction to the compliance department, overseeing the development, implementation, communication and review of all compliance policies, procedures and technology designed to meet the requirements of federal and state regulatory authorities.
"I joined Securities America because I wanted to be associated with a firm focused on technology, growth and service to both financial advisors and clients," Morrison said in a statement. "I'm looking forward to working with the dedicated Securities America team and the independent advisors across the country."
Prior to joining Securities America, Morrison was the managing director of regulatory affairs and chief compliance officer of investment advisors at Morgan Keegan in Memphis, Tenn., where she was charged with ensuring regulatory management and managed various compliance areas, including privacy, business continuity planning, advertising and marketing, anti-money laundering, advisory compliance and equity capital markets compliance. Morrison began her career in compliance in 1998 and joined Morgan Keegan in 2007.
"We are extremely excited to have Denise join the Securities America team," Kevin Miller, Securities America senior vice president and general counsel, said in a statement. "Denise's tremendous experience in the industry, diverse background and successful track record will make her a key contributor in the ongoing growth of the company."
Morrison came to Morgan Keegan through the purchase of AmSouth Investment Services, a wholly owned subsidiary of AmSouth Bancorporation, based in Birmingham, Ala. At AIS, she also served as a senior manager in the compliance department responsible for overseeing various areas. Before AIS, Morrison served as the chief compliance officer for NBC Securities Inc. for four years, reporting to both the president and parent company's board of directors.
Morrison graduated from Samford University with a bachelor's degree in business management and finance and is a member of the Securities Industry and Financial Markets Association, the National Society of Compliance Professionals and the Securities and Insurance Licensing Association.
Larry Barrett writes for Financial Planning.
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