Craig Haughton
- Role
- Executive Director at Morgan Stanley
- Location
- New York, NY, US
- LinkedIn followers
- 500 followers
Experience
Executive Director
Aug 2023 — Present · NY, US
Senior member of Compliance embedded with the Northeast business unit, with day-to-day oversight of the field-facing Compliance function for over financial advisors. Key responsibilities include the following:• Collaborate with senior members of the Wealth Management business, Legal, Risk, and Compliance on high-visibility conduct risk and regulatory enforcement matters affecting the region. Substantive areas are wide-ranging and include, but are not limited to, sales practices and suitability, outside business activities, employee personal trading, internal and external fraud, financial crimes, and anti-money laundering.• Serve as the primary Compliance contact for the Northeast business, and provide guidance and advice to financial advisors, managers, and risk officers on regulations, policies, and procedures.• Participate in internal investigations of alleged violations of securities laws and the Firm’s policies and procedures.• Develop and enhance policies, procedures, processes, and reports to mitigate non-financial risk.• Conduct targeted employee and region-wide training on key compliance and non-financial risk issues.
Skills
- Arbitration
- Legal Writing
- Litigation
- Construction Law
- Westlaw
- Mediation
- Real Estate
- Corporate Law
- Employment Law
- Courts
- Intellectual Property
- Legal Research
- Appeals
- Trials
- Commercial Litigation
- Civil Litigation
- Class Actions
- Business Litigation
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