Samantha M. Simchowitz
Executive Director; Business Control Unit, Nonfinancial Risk Officer; Operational Risk Manager; Legal & Regulatory risk manager
- Role
- Executive Director - Ied Business Unit Risk Management at Morgan Stanley
- Location
- Brooklyn, NY, US
- LinkedIn followers
- 500 followers
Experience
Executive Director - Ied Business Unit Risk Management
Mar 2023 — Present · New York, NY, US
First line of defense for all non-financial risks (operational, franchise, legal, regulatory, tax, technology) across the Institutional Equities Division with a primary focus on Americas Prime Brokerage and Derivatives Clearing-Identify control gaps and NFRs across the division, and coordinate, design and implement meaningful impactful solutions and controls that mitigate or monitor non-financial risks to the business-Strategic planning and project management across institutional securities with experience leading global projects, initiatives and programs with a proven ability influence stakeholders, build consensus and achieve impactful outcomes-Engage with potential or existing clients to ensure proper operational and compliance programs, discuss and address any potential franchise risks to the Firm, engage in post mortems on material issues of concern-Establish regional and global governance forums and served in many such forums as executive officer or quorum member-Advisor and/or SME for regulatory engagements, including exams, surveys and ad hoc inquiries-Coordinate with partners across legal, compliance, operations, global financial crimes and other groups across the firm with respect to new rule promulgations impacting the business-Problem solver, strategic planner and trusted advisor to senior management-Exceptional live issue management with issues of high sensitivity, complexity and/or uncertainty-Senior advisor on client communications and interactions around issues of complexity and sensitivity.
Education
Brooklyn Law School
Juris Doctor
2011 — 2014
UCLA
B.A., Communication Studies, Political Science
2006 — 2010
Skills
- Securities Lending
- Contract Negotiation
- Compliance
- Writing
- Secured Financing
- Lexis
- Legal Research
- Motions
- Legal Compliance
- Securities Regulation
- Westlaw
- Hedge Funds
- Policy Analysis
- Legal Writing
- Litigation
- Community Outreach
- Courts
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