Robert Phillips Email & Phone Number

Boston, Massachusetts, US

Lead a global team that oversees various risk management functions for Compliance (Business Continuity, Third Party Risk Management, Recovery & Resolution Planning, GRC Administrator, and outsourcing governance). Acts as Continuity Director for ERM and Compliance global teams.

New York, NY, US

Managing Regulatory Change Implementation - Dodd Frank, Section 165 Enhanced Prudential Standards for FBOs.

New York, NY, US

• Global Supplier Risk Officer for Operations, responsible for governance of the firm’s supplier risk management program and oversight of all critical suppliers. Directly managed global outsourcing providers TCS, Eclerx.
• Developed and led a Global Ops Vendor Management program compliant to global regulatory guidance (Fed, OCC, PRA, FSA) and supported key strategic initiatives.
• Identified all critical suppliers, ensuring full transparency via performance metrics, conducted Risk Control Assessments (RCA), contract management, and strict cost management
• Ensured timely and reoccurring due diligence reviews conducted on critical vendor’s risk in data protection/information security, financial health, business recovery/contingency, and regulatory/legal concerns.
• Reduced risk by ensuring 4th & 5th party suppliers are known and reviewed as ongoing monitoring in managing critical 3rd parties. (Reviews include Infosec, BCM, financial health, etc.)
• Ensured strong Performance Management governance with timely KPIs and other performance metrics reported frequently. Escalate and resolve poor performance.

New York, NY, US

• Lead a global team to identify, report, and mitigate all outstanding risks for the Operations unit of MS Asset Management Division. Developed appropriate risk appetite with senior stakeholders.
• Incident reporting and escalation, ensure corrective actions taken, and identify trends and weaknesses in the operational processes. Developed timely management reporting.
• Conducted Risk & Control Assessments reviewing operational effectiveness of key controls, tracked and remediated any areas of needs improvement.
• Strengthen the Supplier risk program (vendor management) by developing key performance metrics including escalation thresholds to ensure proper transparency.
• Acted as Information Security Officer for AM Ops ensuring awareness and oversight.
• Developed entitlements management for critical applications to ensure only appropriate access

New York, NY, US

• Developed and managed a Project Management Office that ran large scale projects for Morgan Stanley’s Investment Management Division.
• Oversaw significant projects of scale involving Tech, HR, Business Teams, Finance, Compliance, Legal, and various other teams.
• Developed a team of Project Managers using standard project management disciplines. Ensuring properly defined scope, identified tasks, proper communication, assess all risks, plan contingencies, and measure results.
• Assisted senior management in significant changes from proprietary systems and processes to use of utilities and third party providers to gain efficiency and lower costs.

• Audit – Facilitate/Coordinate all audits. Internal, SAS70, SEC, other external, etc.
• Oversaw quality measurement, developed a quality database, and ensured periodic audits.
• Managing multiple projects from conception to completion. Develop scope and defining objectives. Oversee project to improve workflow, resolve operational issues, and implement client requests. Ensure successful.