Millie Guzman | 2024 Latina of Influence
Hispanic Lifestyle is pleased to honor Global Financial Services Executive Director, Compliance Officer, and Board Member Millie Guzman as a Latina of Influence. Ms. Guzman will be recognized for her leadership in our community during Hispanic Lifestyle’s Connecting Latinas of Influence | Bronx, New York to be held on September 24, 2024.
Millie Guzman is a Global Financial Services Executive Director, Compliance Officer, and Board Member whose strategic executions have turned around, built, and transformed compliance programs, organizational culture, and strategic partnerships, safeguarding iconic and F-100 businesses from regulatory and reputational risk. She is a key business partner in developing and maintaining a framework to address a dynamic and evolving regulatory landscape. Millie provides a deep expertise in advancing business interests and shareholder value via strong alliances across the Firm.
As Executive Director and Compliance Leader at Morgan Stanley, Millie delivers compliance governance programs across MS’s Wealth Management business. She serves on FINRA CE Committee, where she influenced training rules impacting significant Industry continuing education, such as the NASAA Investment Advisor Rule for training. Millie established the Wealth Management business’ Compliance Training & Communications segment, and leveraging innovative solutions and digital capabilities, Millie provides critical information to 27K global employees and 100K users annually – fostering compliance, shaping behavior, and minimizing corporate risk.
Earlier, Millie led as Global Compliance Officer and Business Executive of MF Global, heading corporate interactions with regulatory bodies and audit firms – SEC, CFTC, FINRA, NYSE, CBOE, and Federal Reserve Bank, and Promontory. At MF Global, she spearheaded a regulatory turnaround and critical risk/crisis management, for the Firm’s Compliance supervisory framework after a critical regulatory citation – garnered the Firm in good standing with regulators through a comprehensive communication and training campaign execution.
Millie resides in New Rochelle, NY with her husband Liv and is the proud mother of Laura. She enjoys skiing, cooking, gardening and reading.
