Tim Mayberry
Business Risk at Morgan Stanley
- Role
- Business Risk - Executive Director at Morgan Stanley
- Location
- Port Chester, NY, US
- LinkedIn followers
- 500 followers
About Tim Mayberry
Lead the capital markets business risk team for Morgan Stanley Wealth Management. Key areas of coverage include product risk and controls, OTC derivatives, ECN management, sales & trading governance and trade reporting. Specialties: FINRA Series 7, 63, 24, 53, 4, 3
Experience
Business Risk - Executive Director
Jul 2000 — Present · Purchase, NY, US
Oversee the governance and controls for the sales & trading businesses and products for capital markets. Key responsibilities include:Developed the controls, supervision and policies for numerous new regulatory rules. Created the OTC derivative structure and oversight procedures for entire MSSB footprint and review client suitability.Supervise TRACE, OATS and MSRB trade reporting for Wealth Management. Formulated recovery and resolution plan for Capital Markets trading business including liquidation and sales scenarios as required by the Federal ReserveDeveloped metrics and governance for the ATS trading business, including creating Filter Review Committee for all ATS trading relationshipsReview all trading counterparties for the fixed income and equity trading businessesImplemented and reviewed all 15c3-5 controls for Capital Markets Reviewed and set trade limits and capital limits Developed and implemented comprehensive policyCompleted supervisory reviews for Capital Markets Employee trading policy review and daily approval Entitlements review and approval Front-running (rule 5270) daily review for the division Developed self-trading (rule 5210) oversight committee and review protocols After hours and off premises trading Develop responses regulatory inquiries (best ex, sales practices, trade reporting) Oversee marketing and communications for Capital Markets Present new communications to the governance committee Review marketing materials and communications as registered principal
Education
Siena University
BS, Finance
1996 — 2000
Pace University
MBA, Finance
2002 — 2004
Skills
- Fixed Income
Find verified contacts for anyone on LinkedIn
Unifers gives sales teams verified emails and direct dials, enriched profiles, and outreach that lands in the inbox.
Free plan included · No credit card required
This profile is compiled from publicly available professional sources. Unifers is not affiliated with or endorsed by LinkedIn. Request removal of this profile.