Rose-Anne Richter

Rose-Anne Richter is a Managing Director and the Global Head of Shared Services Compliance for Morgan Stanley. In her role, she is responsible for global coverage of Infrastructure, Outsourcing, Vendor Management and Privacy, and she also oversees the firm’s Registration and Regulatory Inquiries groups.  Rose-Anne joined Morgan Stanley in 1987 and has held a number of senior leadership positions including Chief Compliance Officer for Wealth Management and for 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 past 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.