Sean G.

Experience

1. Executive Director

   Morgan Stanley

   Mar 2022 — Present · New York, NY, US

   Fixed Income Division: Business Control Group Operational Risk and Trade Surveillance Lead- Implement FID’s front office operational risk and control framework, overseeing the reporting of operational risk incidents, the risk and control self-assessment, business continuity planning, new product approvals, internal application entitlements and supplier risk management- Responsible for FID’s front-office trade surveillance program including the design and implementation of the unauthorized trading framework and the fair pricing surveillance program- Serve as the escalation point for day-to-day operational and technological risk issues; oversee formal reporting of incidents and design and implement remedial action plans- Implement FID’s new product approval governance process, ensuring proposals are appropriately vetted by second line risk teams and LCD, and are supported by Operations and Technology prior to execution- Serve as the Business Unit Information Security Officer, designing and implementing data leakage controls- Coordinate the risk and control self-assessment, ensuring it is in line with Firm and regulatory standards- Oversee FID’s supplier risk management program, implementing controls and governance around vendor due diligence reviews- Implement the division’s unauthorized trading program, including monitoring of KRI’s such as late booked trades, unaffirmed and unconfirmed trades, unallocated trades, cancel and corrects and trader mandates

Education

• Villanova School of Business

  Bachelor of Business Administration - BBA, Finance, General