John Murphy
About John Murphy
John Murphy serves as the Associate Director of Group Internal Audit Financial Crime/Issue Assurance at UBS, where he has worked since 2019. With extensive experience in internal audit and risk management, he has held various positions at notable financial institutions, including E*TRADE Financial, Royal Bank of Scotland, and JPMorgan Chase.
Current Role at UBS
John Murphy serves as the Associate Director of Group Internal Audit Financial Crime/Issue Assurance at UBS. He has held this position since 2019, contributing to the New York City Metropolitan Area. In this role, he focuses on enhancing control measures and risk management strategies, collaborating with various levels of management to ensure a robust control environment.
Previous Experience at E*TRADE Financial
Prior to his current role, John Murphy worked at E*TRADE Financial as Manager of Audit from 2007 to 2011. During his four years there, he gained valuable experience in audit processes and financial oversight, which contributed to his expertise in internal audit and operational risk management.
Background in Banking and Financial Services
John Murphy has a comprehensive background in banking and financial services. He served as Vice President and Audit Manager at the Royal Bank of Scotland from 2012 to 2018 and worked as a VP Risk Manager at JPMorgan Chase from 2000 to 2006. His roles have equipped him with a deep understanding of banking and brokerage regulations, particularly in the areas of financial crime and risk management.
Education and Certifications
John Murphy holds a BBA in Accounting from St. Bonaventure University and an MBA in Corporate Finance/Investments from Adelphi University. He has also achieved several professional certifications, including Certified Anti Money Laundering Specialist (CAMS) in 2016, CPA in 1991, and various FINRA licenses including Series 7, Series 24, and Series 63. His educational background supports his extensive knowledge in financial regulations and compliance.
Expertise in Financial Crime and Risk Management
John Murphy possesses extensive experience in internal audit and operational risk management, with a specific focus on financial crime and issue assurance. He is familiar with a wide range of financial products, including trust, custody, retail, and institutional brokerage products. His expertise enables him to identify risks and implement necessary changes to maintain a sound control environment.