Melissa Mastro
VP, Wealth Management Private Banking Compliance @Morgan Stanley
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WORK HISTORY
VP, Wealth Management Private Banking Compliance @Morgan Stanley
Leverage AI to reduce manual review time and aid in streamlining regulatory guidance and risk mitigation· Oversee the Private Banking Group’s Wealth Management Compliance Lending Advisory including, consumer compliance inquiries related to lending products offered by the Banks and Broker-Dealer · Identify and mitigate risk by serving as the Compliance SME for various Banks and Broker-Dealer lending product initiatives, marketing, risk assessment, policies and procedures, and new product offerings
EDUCATION
Compliance School
ABA
MN Bankers Compliance Conference
ABA
University of Maryland
Bachelors, Business Administration
ABOUT MELISSA MASTRO
As a VP of Wealth Management, Private Bank Compliance at Morgan Stanley, I provide advisory services for securities-based lending products across both Bank and Broker-Dealer entities ensuring adherence to federal and state regulations, industry standards, and internal policies. To help gain efficiencies and focus on problem solving, I have been leveraging AI to reduce manual review time and aid in streamlining regulatory guidance and risk mitigation.With 20+ years of experience, I have worked with some of the leading entities in the financial services industry, including Goldman Sachs, KPMG, the Federal Reserve, as well as Large National Banks and FinTech companies to help foster a culture of compliance and risk awareness, while supporting strategic goals and growth. Throughout my career, I have provided subject matter guidance and cross-functional collaboration to and with: senior management, risk, legal, operations, audit, regulators, and other external stakeholders. I have developed and executed compliance management programs including, policies, regulatory change, monitoring and testing functions, complaints handling, risk assessments, risk and control self-assessments, gap analysis, issues management, reporting, and training. My expertise not only includes compliance management program development and implementation but also covers product specific advisory throughout the life cycle of transaction banking, lending, deposits, and payment solutions focusing on key FRB, OCC, FINRA, SEC, FFIEC, FDIC, CFPB, and state regulations. Additionally, I hold the CRCM credential, which demonstrates my knowledge and proficiency in regulatory compliance management and best practices in the highly regulated financial services industry.
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