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 by maintaining high client satisfaction and maintaining low risk levels. • 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. • Drive Process improvement and ensured best pricing by closely monitoring supplier costs. Proactively identify synergies across global relationships and identify opportunities. • Closely work with internal stakeholders advising best practices, industry trends, and helped develop vendor strategy. Issued global policies and created training programs for both vendors and internal service owners.

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 • Facilitated internal audit review and managed external auditors conducting SSAE 16/SOX. • Ensured hot spot management (attrition/depth charts) included in transparency of risk reporting • Issued operations specific risk policies and monitoring practices. • Developed and implemented specific risk awareness Training on initiatives, regulatory changes

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 until completion.• 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 completion of project.