Dianne C. Morrow
About Dianne C. Morrow
Dianne C. Morrow is a Compliance Officer at Victory Capital, where she has worked since 2020. With extensive experience in compliance and marketing across various financial institutions, she holds Series 7 and 24 licenses and has a background in fine arts.
Work at Victory Capital
Dianne C. Morrow has served as a Compliance Officer at Victory Capital since 2020. In this role, she is responsible for ensuring that the company's operations adhere to regulatory requirements and internal policies. Based in San Antonio, Texas, she has contributed to the development of compliance frameworks that support the company's objectives while mitigating risks associated with regulatory non-compliance.
Previous Experience in Compliance
Before joining Victory Capital, Morrow held several significant positions in compliance and marketing compliance. She worked as a Senior Compliance Marketing Manager at LendingClub for six months in 2019. Prior to that, she served as a Compliance Manager at Silicon Valley Bank and as a Compliance Principal at Financial Engines. Her extensive experience in compliance roles has equipped her with a deep understanding of financial regulations.
Education and Expertise
Dianne C. Morrow holds a Bachelor of Arts degree from Rice University, where she studied English and Art/Art History. Additionally, she achieved a Certificate in Painting from the Pennsylvania Academy of the Fine Arts. Morrow possesses Series 7 and 24 licenses, which reflect her strong foundation in financial regulations and compliance. Her expertise includes reviewing marketing materials across various platforms, such as social media, print, and broadcast media.
Career Background
Morrow has a diverse career background in compliance and legal services. She worked at SEI as a Marketing Compliance Analyst from 2000 to 2007 and served as a Legal Services Manager at Delaware Investments from 2006 to 2012. Earlier in her career, she was a Client Service Paralegal at Morgan, Lewis & Bockius LLP from 1995 to 2000. Additionally, she held the position of Vice President at BlackRock from 2012 to 2015.
Advocacy for Compliance Innovation
Dianne C. Morrow advocates for the role of compliance as a supportive tool for innovation within organizations. She emphasizes the importance of coherent guidance and creative support in compliance practices, aiming to foster an environment where compliance facilitates rather than hinders business growth.