Chief Compliance Officer - Mutual Funds
Current
Jul 2017 - Present
AeroLeads people directory · profile
Philip Stack Email & Phone Number
Chief Compliance Officer - Mutual Funds at Guardian Life Insurance Company
at
Guardian Life Insurance Co of America
1 work email found
@morganstanley.com
2 phones found area 914 and 888
LinkedIn matched
✓ Verified Jun 2026
4 data sources
Profile completeness 100%
Current company
Role
Chief Compliance Officer - Mutual Funds at Guardian Life Insurance Company
Location
New York, New York, United States
Who is Philip Stack? Overview
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Quick answer
Philip Stack is listed as Chief Compliance Officer - Mutual Funds at Guardian Life Insurance Company at Guardian Life Insurance Co of America, based in New York, New York, United States. AeroLeads shows a work email signal at morganstanley.com, phone signal with area code 914, 888, and a matched LinkedIn profile for Philip Stack.
Philip Stack previously worked as Chief Compliance Officer - Mutual Funds at Guardian Life Insurance Co Of America and Chief Compliance Officer - CGCM Funds at Morgan Stanley. Philip Stack holds Mba, Business & Finance from Suffolk University - Sawyer Business School.
Company email context
Email format at Guardian Life Insurance Co of America
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{first}.{last}@morganstanley.com
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Profile bio
About Philip Stack
Senior Audit and Investment Compliance Executive with more than 25 years of achievement promoting uninterrupted operations for financial services leaders through leadership in the development, monitoring, auditing and enhancement of compliance programs that ensure fulfillment of an organization’s fiduciary duties. Well versed in the nuances and practices of Public Accounting Firms, Multinational Insurance Companies and Investment Advisory Firms including John Hancock Life Insurance Company, Ernst & Young, Old Mutual US Holdings and Gannett Welsh & Kotlerand Morgan Stanley.Well versed in 1940 Investment Company Act, 1940 Investment Advisors Act, 1934 Exchange Act and ERISA.Knowledgeable in Performance, Marketing, AML, Portfolio Management, Trading and Code of Ethics. Adept in establishing investment compliance policies and procedures that proactively prevent violations of securities law.CORE COMPETENCIESAudits • Budgeting • Expense Control • Financial Analysis • Internal Controls • Reporting • Regulatory Investment Compliance • Change Management • Strategic Planning • Team Leadership • Recruiting • Vendor Relations • Policy Development • Training & Development • Negotiations
Listed skills include Risk Management, Financial Risk, Asset Management, Financial Services, and 28 others.
Current workplace
Philip Stack's current company
Company context helps verify the profile and gives searchers a useful next step.
Guardian Life Insurance Co Of America
AeroLeads page
9 roles · 30 years
Philip Stack work experience
A career timeline built from the work history available for this profile.
Chief Compliance Officer - Cgcm Funds
Dec 2013 - Jul 2017
Vice President Cag Compliance
- Responsibility for the execution of the annual Investment Management Compliance audit plan globally including: Planning audits (identifying resources, scheduling audits in consultation with the business unit and.
- Build positive and value-added relationships with managers and executives in the business units.
- Responsible for identifying and hiring qualified candidates to fill open requisitions.
- Responsible for the development of staff and seniors by identifying training needs.
May 2012 - Dec 2013
Vice President, Director Of Compliance & Risk Management
- Implemented, maintained, and managed IA Compliance Program.
- Reported directly to the IA Chief Compliance Officer and firm Principal.
- Worked closely with business to ensure regulations and firm policies were well understood andincorporated into workflow. Wrote the firm's compliance policies and procedures manual.
- Helped to reinforce the firm’s culture of compliance.
- Developed and implement surveillance activities including the introduction of Compliance 11 for employee personal trading, OBI and political contributions.
- Portfolio Management and Trading: Conducted surveillance and answered questions regarding:allocation, rotation guidelines, best execution (chaired the best execution committee) and internal cross trading.
Dec 2008 - Feb 2012
Vice President, Us Audit
Old Mutual (Us) Holdings
Old Mutual US Holdings, a division of Old Mutual PLC, a London based insurance and financial services firm. The US entity is a holding company overseeing 18 boutique asset management firms with $305 Billion of AUM in 2007. Vice President, US AuditDrove development and implementation of annual audit plans. Responsible for audits of the operations.
Aug 2005 - Nov 2008
Audit Manager
Manager, Financial Service Advisory (2004 – 2005)Manager, Business Risk Services (2002 – 2003)Lead Senior III – Supervising Lead Auditor (2001 – 2002) Provided internal audit services in a fully outsourced capacity to several financial services firms who had a combined total of over 50 investment advisor affiliates and/or divisions. Facilitated audits and.
Nov 2001 - Aug 2005
Assistant Chief Compliance Officer
John Hancock Variable Series Trust 1
Assistant Chief Compliance Officer to the JH Variable Series Trust 1Ensured regulatory compliance in the offering and management of firm products that included variable annuities with underlying investments in a suite of mutual funds from multiple fund families that included Fidelity, Cap Guardian, Janus, Putnam, Wellington, John Hancock Funds, Morgan.
Jun 2003 - Jul 2004
Compliance Audit Manager
Compliance Audit Manager (1999 – 2001)Senior In-charge Auditor (1999)Staff Auditor (1998) Reviewed business subsidiaries in relation to SEC, NASD and DoL (ERISA) Regulations. Performed mock SEC examinations. Developed and conducted detailed audit programs. Performed risk based operational audits on subsidiary business units. Guided the efforts of as many.
Mar 1998 - Nov 2001
Internal Control Analyst
1996 - 1998
~2 yrs
2 education records
Philip Stack education
Mba, Business & Finance
Suffolk University - Sawyer Business School
Bsba, Accounting
Northeastern University
FAQ
Frequently asked questions about Philip Stack
Quick answers generated from the profile data available on this page.
What company does Philip Stack work for?
Philip Stack works for Guardian Life Insurance Co of America.
What is Philip Stack's role at Guardian Life Insurance Co of America?
Philip Stack is listed as Chief Compliance Officer - Mutual Funds at Guardian Life Insurance Company at Guardian Life Insurance Co of America.
What is Philip Stack's email address?
AeroLeads has found 1 work email signal at @morganstanley.com for Philip Stack at Guardian Life Insurance Co of America.
What is Philip Stack's phone number?
AeroLeads has found 2 phone signal(s) with area code 914, 888 for Philip Stack at Guardian Life Insurance Co of America.
Where is Philip Stack based?
Philip Stack is based in New York, New York, United States while working with Guardian Life Insurance Co of America.
What companies has Philip Stack worked for?
Philip Stack has worked for Guardian Life Insurance Co Of America, Morgan Stanley, Gannett Welsh & Kotler, Old Mutual (Us) Holdings, and Ernst & Young Llp.
How can I contact Philip Stack?
You can use AeroLeads to view verified contact signals for Philip Stack at Guardian Life Insurance Co of America, including work email, phone, and LinkedIn data when available.
What schools did Philip Stack attend?
Philip Stack holds Mba, Business & Finance from Suffolk University - Sawyer Business School.
What skills is Philip Stack known for?
Philip Stack is listed with skills including Risk Management, Financial Risk, Asset Management, Financial Services, Due Diligence, Auditing, Internal Audit, and Investments.
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