Ryan Murphy Email & Phone Number

Washington Dc-Baltimore Area

Washington Dc-Baltimore Area

Branch Office Examinations - Private Wealth ManagementManaged and supervised Branch Examinations team responsible for performing inspections of Morgan Stanley Wealth Management branch locations.Partnered with Front Line Risk, Branch Examinations leadership and other Compliance leadership to create and maintain Branch Examinations Program materials.Served as subject matter expert on topics including Licensing and Registration, registration and oversight of employees working… Show more Branch Office Examinations - Private Wealth ManagementManaged and supervised Branch Examinations team responsible for performing inspections of Morgan Stanley Wealth Management branch locations.Partnered with Front Line Risk, Branch Examinations leadership and other Compliance leadership to create and maintain Branch Examinations Program materials.Served as subject matter expert on topics including Licensing and Registration, registration and oversight of employees working from alternate work locations, Heightened Supervision, Regulation Best Interest (Reg BI), electronic communication review, review of trade blotters, Employee Securities Accounts and other accounts subject to FINRA 3210. Prepared training materials and hosted team discussions related to areas of subject matter expertise.Discussion of examination issues with all levels of branch management. Prepared examination reports and tracked Issues and Corrective Action Plans to completion. Show less

Summit, New Jersey, United States

Provides oversight of WIM with respect to execution effectiveness of conduct policies, monitoring and self-assurance activities, including escalation of risks and issues.Provides challenge, independent assessment, and advice with respect to WIM controls, as well as actions to address gaps in control design and effectivenessDevelops and implements oversight processes for ongoing monitoring of WIM for conduct risks. Identifies areas for enhancements and… Show more Provides oversight of WIM with respect to execution effectiveness of conduct policies, monitoring and self-assurance activities, including escalation of risks and issues.Provides challenge, independent assessment, and advice with respect to WIM controls, as well as actions to address gaps in control design and effectivenessDevelops and implements oversight processes for ongoing monitoring of WIM for conduct risks. Identifies areas for enhancements and efficiencies.Provides consultation and guidance to WIM to support self-identification, assessment, escalation or monitoring of risks and issues.Monitors enterprise and business group reporting for trends and points of escalation related to conduct risk for WIM processes (i.e. insider threat, internal fraud, sales practices, allegations, customer harm, etc.)Builds and develops strong engagement with key stakeholders including WIM front line Business and Control Executives and Internal Audit teams to provide regular updates on status of conduct risk oversight and initiatives.Conducts and assists with ad hoc projects of key processes/programs as part of oversight responsibilities. Show less

Columbia, Maryland

Management of Compliance Branch Examinations Program and management/supervision of Branch Examinations team responsible for performing inspections of TD Ameritrade Retail branch locations. Responsible for creating and maintaining Branch Examination procedures, examination materials, and annual examination schedule. Also responsible for tracking observable trends in examination issues and partnering with Branch Leadership to achieve sustainable solutions.Responsible for… Show more Management of Compliance Branch Examinations Program and management/supervision of Branch Examinations team responsible for performing inspections of TD Ameritrade Retail branch locations. Responsible for creating and maintaining Branch Examination procedures, examination materials, and annual examination schedule. Also responsible for tracking observable trends in examination issues and partnering with Branch Leadership to achieve sustainable solutions.Responsible for management and supervision of Examinations team personnel. Proficient in coaching and development of individual Examiners. Also proficient in communicating complex regulatory concepts to all levels of associates. Show less

Omaha, Ne

Compliance: Senior Examiner 08/2017 to 12/2018Compliance: Examiner 11/2013 to 08/2017Compliance: Senior Analyst, Clearing/Operations 05/2013 to 11/2013Compliance: Licensing and Registration Specialist: 06/2010 to 05/2013

Greater Omaha Area

Investor Services: Quotes & Authorization Team Manager: 9/2009 to 5/2010Investor Services: Broker/Branch Resource Desk: 9/2007 to 06/2010

Lincoln, Nebraska Area