Nate Saint-Victor is a Vice-President in the Legal and Compliance Division of Morgan Stanley Smith Barney. Nate provides advice on issues pertaining to the laws, rules and regulations applicable to investment advisers and brokers-dealers with emphasis on the Investment Advisers Act of 1940, the Securities Act of 1933, the Securities Exchange Act of 1934 and the rules of the Financial Industry Regulatory Authority (FINRA). Prior to his current position, Mr. Saint-Victor was an associate at the law firm of Davis Polk & Wardwell where, as counsel to sponsors and registered and unregistered investment advisers, he provided regulatory and compliance advice and assisted with the formation and structuring of domestic and offshore private funds.
Nate is the Chair of Morgan Stanley's Legal and Compliance Division Diversity & Inclusion Committee (LCDDIC), which promotes the premium the firm places on the perspectives, creative thinking and varied experiences that come from a diverse workforce. He has been an active member of the LCDDIC for several years, helping to enhance the firm's annual Outside Counsel Diversity Survey, coordinate the firm's summer intern programs, and increase the firm's involvement with diversity and inclusion initiatives with law firms, bar associations and other organizations.
Nate sits on the New York City Bar Association's Committee on Minorities in the Profession, where he helps innovate effective ways to increase networking and enhance career development among minority attorneys. He is also the Chair of the New York City Bar Association's Diversity & Inclusion Champion Award Selection Committee.
Nate sits on the Advisory Council for the National Association of Minority and Women Owned Law Firms (NAMWOLF), a nonprofit trade association comprised of minority and women-owned law firms.
Nate also sits on the Board of Directors for the Alliance of Securities and Financial Educators (ASAFE), a non-profit alliance of financial services industry experts who are regulators and practitioners that create and provide educational programs to increase and diversify access to the financial services industry and its leadership careers.
Nate enjoys mentoring high school students through Legal Outreach, a college prep organization that uses the law as a tool to inspire and prepare urban youth from underserved communities in New York City to succeed in high school, college and beyond. Nate is also a regular judge for Legal Outreach moot court competitions, has served as a guest speaker for their 8th grade summer program (Pathways to Achievement and Community Transformation, or PACT), and currently sits on Legal Outreach's Advisory Board.
In 2009, Nate was chosen for, participated in, and graduated from, a fellowship program through the Council of Urban Professionals, a New York-based leadership development organization that molds diverse business and civic leaders, and empowers them to exert influence, achieve their individual goals and create collective impact through a range of programs and initiatives.
Nate received his law degree from Georgetown University Law Center in 2002 and his undergraduate degree from Duke University in 1998.