Rose-Anne Richter

CCO, Wealth Management, Morgan Stanley

Rose-Anne Richter is a Managing Director and the Chief Compliance Officer for Morgan Stanley Wealth Management. In her role, she is responsible for oversight of the Firm’s regulatory compliance program.  Rose-Anne joined Morgan Stanley in 1987 and has held a number of senior leadership positions including Chief Compliance Officer of Morgan Stanley’s Institutional Securities Group in the Americas, Head of the Control Group, Head of Fixed Income Compliance and Head of Sales and Trading Compliance.  Rose-Anne has led numerous industry and regulatory initiatives, is an active SIFMA member and has served on several industry committees, including as Chair of the FINRA Fixed Income Committee.  She has been extensively engaged in key regulatory reform initiatives and has played a significant role in Morgan Stanley’s efforts in that area.  Rose-Anne is a graduate of Fordham University.