Andrew Bernstein
Executive Director, Global Head of Swap Dealer and Security-Based Swap Dealer Compliance, Morgan Stanley
Andrew Bernstein is the Global Head of Swap Dealer and Security-Based Swap Dealer Compliance and Senior Regulatory Counsel for ISG Compliance at Morgan Stanley. Andrew also is Chief Compliance Officer of Morgan Stanley Capital Services LLC, Morgan Stanley & Co. LLC (Swap Dealer) and Morgan Stanley Bank N.A. (Swap Dealer and Security-Based Swap Dealer).
Before joining Morgan Stanley, Andrew spent more than 11 years in the Division of Trading and Markets at the Securities and Exchange Commission in various leadership roles in the Office of Derivatives Policy, where he was the lead on a number of Dodd-Frank Act rulemakings, and the Office of Chief Counsel, where he was responsible for broker-dealer interpretative issues. Prior to joining the SEC, Andrew was an associate at Sullivan & Cromwell LLP in both the Financial Services and General Practice groups.
Andrew holds an M.S. from Cornell University and a J.D. from American University Washington College of Law.