Laure Salvaggio currently serves as Vice President at Morgan Stanley, where she plays a pivotal role in ensuring compliance across a diverse portfolio of financial entities. With a keen focus on corporate filings, Laure is responsible for the meticulous coordination and maintenance of critical regulatory...
Laure Salvaggio currently serves as Vice President at Morgan Stanley, where she plays a pivotal role in ensuring compliance across a diverse portfolio of financial entities. With a keen focus on corporate filings, Laure is responsible for the meticulous coordination and maintenance of critical regulatory documents, including Forms BD, ADV, 7-R, and 33-109F6 for both U.S. and Canadian entities. Her expertise spans four U.S. registered Broker Dealers, five U.S. registered Investment Advisors, and thirteen NFA registered entities, including Commodity Pool Operators (CPO), Commodity Trading Advisors (CTA), Futures Commission Merchants (FCM), and Swap Dealers. Additionally, she oversees compliance for two Exempt Market Dealers, showcasing her comprehensive understanding of the regulatory landscape.
Laure's success in navigating complex compliance requirements is underscored by her strong foundation in securities regulation and her proficiency in key industry certifications, including Series 7, Series 24, and Series 63. Her ability to manage multiple projects simultaneously while ensuring adherence to regulatory standards has positioned her as a trusted resource within the firm. Notably, Laure has spearheaded initiatives that streamline the filing process, enhancing operational efficiency and reducing turnaround times for compliance documentation. Her commitment to fostering a culture of compliance not only safeguards the integrity of Morgan Stanley's operations but also reinforces the firm’s reputation as a leader in the financial services industry. Through her strategic insights and dedication to excellence, Laure continues to make significant contributions to the firm's compliance framework, ensuring that it remains robust and responsive to the ever-evolving regulatory environment.
