Rob Murray III, CFE

Experience

• 

  UBS Wealth Management

  Jul 2007 - Jul 2010

  - Lead the daily operations activities and approvals (e.g., new accounts, funds received and delivered, trade processing, etc.) in the complex and ensured that activities ran smoothly, efficiently and met service excellence standards. - Lead all Branch Service Associates within the complex and provided guidance, training and coaching needed to ensure they were able to perform all operations, tasks, and responsibilities.- Worked along side the Complex Administrative Manager, aligning complex resources and coordinate operations staff for coverage in all related areas. - Performed delegated supervisory functions, approvals, and authorizations for the complex. Show less

  • Complex Operations Manager

    Nov 2009 - Jul 2010

  • Financial Advisor Associate

    Jul 2007 - Nov 2009
• 

  Morgan Stanley

  Jul 2010 - now

  - Manage/Oversee/Implement the MSPBNA Vendor Management Program (Inter-Affiliate and Non-Affiliate Supplier Risk Management programs)- Provide oversight over all Private Bank non-affiliated vendors (250+ total vendors); conduct ongoing and annual risk assessments on all 125 "Key" vendors (FRB SR Letter 13-19; OCC 2013-29; CFPB 2012-03)- Chair MSPBNA's Vendor Management Committee- Write and Maintain Bank Policies and Procedures around Vendor Management and areas covered by the Operational Risk Management Framework (including Bank Governance)- Series 24 approver for all internal/external use marketing and communications for MSPBNA and Morgan Stanley Wealth Management Banking and Lending- Coordinator of 40 key risks/controls for MSPBNA's annual Risk Control Self Assessment (RCSA)- Steer OCC/Internal Audit/Compliance Exams and manage all issues identified within the Private Banking business units - Project Manager for Basel II implementation within MSPBNA- Project Manager for MSPBNA's OCC - MRA Closure Verification process- Operational Risk Management Specialist to the Private Banking Group's HNW Lending Division Show less - Steer OCC/Internal Audit Exams and manage all issues identified within the Private Banking business units - Report to Bank Sr. Management & Board of Directors on the Bank's regulatory environment/exposure- Provide oversight over all Private Bank 3rd party vendors (64 total vendors); conduct ongoing and annual risk assessments on all vendors (OCC 2001-47)- Project manager for Basel II implementation within MSPBNA- Project manager for MSPBNA Control Enhancement projects- Series 24 approver for all internal/external use marketing and communications for MSPBNA/MSSB Banking and Lending- Analyze suitability for all new products prior to New Product Approval Committee review- Serve as Private Bank's Business Unit Information Security Officer (oversight of employee entitlements and IT builds)- Monitor all potential HELOC/TBA/Tailored Loans for potential Regulation W violations- Oversee and manage MSPBNA's semi-annual FDICIA/SOX testing program- Coordinator of key risks/controls for MSPBNA's annual Risk Control Self Assessment (RCSA)- Write Bank procedures around Operational Risk framework Show less - Successfully integrated two broker/dealer banking and lending sales desks into one - Managed call volume, call efficiencies, and customer service- Crafted sales desk education/training- Implemented Service Level Agreements across product areas and sales desks- Teamed with Firm's Business Continuity Office to design sales desk BCP plan- Notified broker/dealer channel of all nationwide changes and rollouts promoted by MSPBNA - Series 24 approver for all MSPBNA/MSSB Banking and Lending internal/external communications and marketing materials- Served as Divisional Manager over sales desk employees' outside business interests/accounts- Designed MSPBNA's 2011 Service Excellence Action Plan for the Banking and Lending Sales Desk- Project Manager for all Sales Desk Operational IT builds Show less

  • Executive Director - US Banks Head of Conduct/Sales Practices/Fraud Risk

    Jan 2021 - now

  • Executive Director - Head of Bank Field Risk

    Jan 2017 - Jan 2021

  • Vice President - Lead Field Operational Risk Officer

    Oct 2014 - Jan 2017

  • Vice President - Operational Risk Manager, Vendor Management Officer

    Jan 2013 - Feb 2015

  • Assistant Vice President - Operational Risk Manager

    Mar 2011 - Jan 2013

  • Assistant Vice President - Sales Desk Operations Manager

    Jul 2010 - Mar 2011