Alex Zengo

Experience

• 

  Morgan Stanley

  Aug 2000 - Oct 2020

  The Senior Complex Risk Officer is responsible for all supervisory, compliance, and risk functions along with maintaining a consistent control environment as follows: Surveillance and Supervision - responsibility for all risk, supervisory, and compliance functions; communicates and facilitates all inquiry requiring escalation; focuses on business ethics and regulatory/compliance practices; provides the coaching/guidance on policies, procedures and regulations; manages the Complex Risk Officers to ensure consistent compliance; ensures procedures are in place for self-audits Risk Management/Compliance/Legal - monitors/implements procedures to manage all facets of risk; facilitates regular/consistent communication of PWM policies/regulations; liaises with Legal/Compliance Divisions customer complaints/litigation; ensures appropriate supervisory coverage is maintained at all times; responsible for the preparation for and response to audits, ensuring that any audit findings are appropriately responded to and remediated; monitors people risk and ensures appropriate action is taken; responsible for proactive client contact determining suitability and managing risk; active involvement regarding matters presented to the Credit Committee; primary source for intelligence on risk in regard to clients and PWM teams; active involvement with margin and credit decisions Administrative - works closely with Special Investigation Unit on any HR issues as related to risk and compliance; facilitates training of all personnel on Morgan Stanley PWM compliance policies and procedures; assists in the review and on boarding of all PWM recruits Show less The PWM Regional Administration Manager is responsible for a wide variety of supervisory, compliance and risk functions within the PWM office. The PWM Administration Manager is responsible for the on-going day to day non-sales responsibilities of running the Private Wealth Management location. Along with the Regional Sales Manager, the Regional Administration Manager has accountability for maintaining a consistent control environment through adherence to business ethics and practices and all applicable Federal, State and Local laws, Morgan Stanley Wealth Management policies and all other regulations. The Regional Administration Manager has dual straight line reporting to the Regional Sales Manager and the Head of Administration of Private Wealth Management. The PWM Regional Administration Manager is responsible for the local supervision of PWM Sales Associates, PWM Administration Managers and PWM Operations staff if applicable. Show less

  • Executive Director, PWM - Senior Complex Risk Officer

    May 2015 - Oct 2020

  • Executive Director, PWM - Regional Administration Manager

    May 2013 - Apr 2015

  • Vice President, PWM - Administration Manager for Boston/Philadelphia/Washington DC

    May 2002 - Apr 2013

  • Senior Registered Sales Associate

    Aug 2000 - May 2002
• 

  Americana Partners

  Dec 2020 - now

  Managing Director, Chief Compliance Officer

  Managing Director of the compliance organization, which is responsible for developing the compliance governance framework, and ensuring that risks generated by the business are measured, reviewed and monitored on an ongoing basis alongside our regulatory requirements.