Thomas Smallman

Thomas Smallman is a seasoned professional with extensive experience in financial compliance and law. They began their career as a Law Clerk for the United States District Court, Eastern District of Pennsylvania, and subsequently held positions at the U.S. Securities and Exchange Commission, where they served as Senior Counsel. At Morgan Stanley, Thomas rose through the ranks from Executive Director and Regulatory Counsel to Managing Director and Global Head of Institutional Securities Group Financial Crimes Risk. They also managed the firm's global Volcker Compliance program and provided counsel on regulatory initiatives throughout their tenure from 2014 to present. Thomas earned a Bachelor of Business Administration in Finance from Georgetown University and a Juris Doctor from Villanova University Charles Widger School of Law.