Attitude and effort

1. ROBERT MORRIS
THE NEW YORK AREA (973) 610-2699
RMORRIS172@GMAIL.COM
HTTP://WWW.LINKEDIN.COM/IN/RMORRIS172
LEGAL AND COMPLIANCE HIGHLIGHTS....
Support and executed all basic accounting and compliance functions of a Broker-Dealer or a Registered
Investment Adviser. Compliance Processmanagement. Over fifteenyears of experience in high pressure
trading environment; oversaw liquidity, volatility,and news related trading events. Experienced Project
Manager with many internal and outsourced successful deliverables. Investment Company Actand
Investment Adviser Act Consultant focusing on ADV I and II,Form PF, Forms N1-A and N2 (compliancefor
both open, closed funds and ETF’s and Private equity) 38A-1, N-CSR submissions, liaison to Board of
Directors, 206(4)-7 annual review.Broker-Dealer founder and operational expertise, including operational
due diligence. SEC and FINRA exam experience. Buy Side and Sell Side experience -market maker and
portfoliotrade compliance. Top producer at numerous firms, Head of Operations at Broker-Dealer, AMLCO,
Chief Compliance Officerboth IA and BD. I bring attitude and effortto the officeevery day.
BROKER-DEALER COMPLIANCE
INVESTMENT ADVISOR COMPLIANCE
FINRA 24, 63,65,82
BUY SIDE-COMPLIANCE PE
TRADE/FUND/PORTFOLIO
COMPLIANCE
OPERATIONS-CONTROL ROOM-
ODD
FINCEN/SARS/KYC/CAMS
PROJECT MANAGEMENT-PMP
BROKER-DEALER OPERATIONS
TRADE AUDITS -HEDGE FUNDS-
PE
WRITTEN SUPERVISORY
PROCEDURES
INSIDER TRADING MNPI-EU
COMPLIANCE
SEC EXAMS FINRA CMA-
EXAM -STATE
EXPERIENCE
ROOSEVELT &CROSS,NEWYORK, NY August2016-November2016
ChiefComplianceOfficer
 Interim Chief Compliance Officer
 Best ExecutionPolicy-Development-Training
 Continuing Disclosure Compliance
 Registrations Expert -Edgar- SEC- MSRB Form MA-1 and MA
 WSP author-Compliance manuals, registrations
 Training, education, registrations of entire Corporate staff
 MCDC- compliance mandates- Bloomberg- AIM-Reuters
 MNPIand trading compliance-EU Compliance-AMLCO Officer
 Train and tutor- New CCO- SEC exam
SWARTWOODHESSE, WESTTOWN,NY FEBRUARY 2014 – JULY 2016
CHIEF COMPLIANCE OFFICER,
● Created and Implemented Code of Ethics and Annual 3110 and 3130 FINRA rule review,
FINRA 7400-7470 OATS Compliance, MNPIcompliance- information barrier _ AMLCO officer
● Privateand Public expertise; Prepared and assisted offering documents, suitability agreements
● Review marketing and advertising materials against FINRA/GIPS/SEC rules and regulations
● DOLFiduciary, update compliance procedures, Sales and Advertising, Pitch Book
● ProjectManagement: Set-up Crowdfunding Department, including proper Jobs ActCompliance,
PrivatePlacement Regulations, and Sales, Marketing Platform
● WSP construction- Compliance manuals- Compliance training- Trade Surveillance
● Charles River- Hedge Funds- PE PitchBook and Disclosure Compliance- Buy Side and Sell Side
Pre/Post/Forensic trade compliance

2. COMPLIANCE CONSULTANT,PARSIPPANY, NJ NOVEMBER2010– MARCH 2016 CORP-TO-CORP CLIENTS LIST
BELOW
HEAD OF BROKER-DEALER/INVESTMENT ADVISER/1940 ACT DEPARTMENT- PART-TIME CHIEF COMPLIANCE OFFICER
10RIA FIRMS
● ProjectManagement forbrowser based electronic sales reporting systems
● Specialist in all Broker Dealer/RIA/Investment Adviser/ Hedge Fund/ETFand Fund Compliance
and LFCB
● Expert in 38a-1 and 206(4)-7 annual, risk, gap, complete compliance regime
● Marketing/Advertising Review-GIPS/FINRA/SEC/NFA
● Barracuda, Charles River, SMARTS, Bloomberg AIM LexisNexis
● Authored procedures for AML/CIP/KYC/SAR/FINCEN third party audits and for clients, WSP-
Suitability agreements FINRA 2111, solicitation agreements for BDclients-AMLCO and AML audits
● Code of Ethics-constructionand compliancereview in line with 206(4)-7
● ProjectManagement: Twenty Investment Advisor Firms, one Broker-Dealer-EB-5 focusand several
solicitor-CPA/IAFirms. Developed 206(4)-7 Templates-Clients: Gemini,NorthStar,Climeco,
Spinnaker,Sirius,Sherborne,LoganFinancial,W.E.Donoghue,Verderm,KraneShares
● ADV expert fund, private fund, sub-adviser, ETFhave authored over 60 separate ADV submissions
● WSP clients- over50 manuals created- numerous request revisions for new regulations
● Annual certificationfor FINRA 3130 and Chief Compliance Annual report forSwaps – CFTC-NFA
SUSSEX SECURITIES LLC, LAFAYETTE, NJ APRIL1996 – FEBRUARY 2004REGISTERED BDFEBRUARY 2004-
APRIL 2010 COMPLIANCE OUTSOURCING
TOP PRODUCER- CHIEF EXECUTIVE OFFICER-HEADOF OPERATIONS- CHIEF COMPLIANCE OFFICER.
● Founded Broker-Directorof Operations. Executed and oversaw all aspects of business including
supervision, growth, profitability, and compliance.
● Managed Wealth Management Department WARP Platforms-Bloomberg
● Conducted Trade Surveillance. Compiled Daily-Monthly-Yearly P&Lreconciliations.
● Principal Fixed Income-ETF,trade supervision
● BSA/AML/OFAC Compliance-US Customs and Border Protection-BrokerageExpertise
● FINRA/SEC: Managed books and records FINRA 4511 and SEC 17a-3 -Customer Complaints FINRA
4513. PerformedAudit reviews FINRA 4140.
● ProjectManagement: Projectleader on Compliance Department for Trace,RTRS, ACT, Oats,
including all risk matrix and compliance calendars, plus all SEC, FINRA, and MSRB manuals. Set-up
entire Compliance Department
● NASDAQ and OTC trading-market-making research Bloomberg, Reuters, Broker-Dealer
Operations
WESTFALIA INVESTMENTS,NEW YORK,NY JANUARY 1990 – APRIL1996
TOP PRODUCER-SENIOR HEAD OF EQUITES-FIXED INCOME-FUTURES- OSJ COMPLIANCE
● Designed, built and staffed NJ operation forretail and wholesale trading firm including muni-bonds.
● Head of Fixed Income and Equites Department. Daily supervise P&L entire firm.
● Providedon-going direction for production, risk management, strategic vision.
● Served as liaison to Wall Street, NY office.
● Supervised team of 16 including 10 traders.
● Oversight of trade desk and the responsibilities all fixed income and equities.-surveillance
● Manager Wealth Management Team.
● Futures and options compliance and trading supervision
● Risk trading and asset pricing - mark-to-market expertise VaR
● Supervised proper reporting of trades to the ACT system, TRACE and ORF systems and OATS
reporting.
● NASDAQ-Broker-Dealer operations – OTC research- PINKSHEETS Markets and research
● ProjectManagement: set-up stand-alone Municipal Bond Department, including all FINRA, MSRB

3. compliance and sales and marketing.
WedbushNobleandCook New York, NY Senior Vice-President November 1986-January 1990
HeadOTC-NASDAQMarket-Maker TopProducer
 NASDAQ OTC research and trading
 Liaison to Los Angeles Officeand Investment Banking
 Bloomberg-Prime Broker -Operations
 Information barrier- MNPIcompliance
EDUCATION
MARS HILL COLLEGE,MARS HILL, NC
BACHELOR OF ARTS, Economics,December 1989
Rutgers,CamdenNJ
ProjectManagement Masters
SKILLS
● SharePoint, Excel, MicrosoftOffice,Unix,Google-Drive, SQL expertise
● Excelspreadsheet, Vlookup, Pivottable, VBA, Index Match
● Registration expert in FINRA CRD and SEC Edgar System
● OTC and NASDAQ expert markets, research, trading
● Bloomberg-Reuters -CRD-LVTS-AIM sales platforms
● WSP-compliancemanuals
● Training and Development
● Control Room
● Awesome Trouble-shooter
● 38a-1 and 206(4)-7 reviews
● Out of the box problem solver; team player
● Third party compliance reviews.
● Electronic trading and surveillance sage
● Great sense of humor, potential late night host
No conflictingoutside business activities.