Joshua Birbach serves as the Head of Conduct, Surveillance, Compliance, and Client Non-Financial Risk at Morgan Stanley, where he plays a pivotal role in safeguarding the integrity and ethical standards of the firm’s operations across Equities, Fixed Income, and Private Side businesses. With a robust...
Joshua Birbach serves as the Head of Conduct, Surveillance, Compliance, and Client Non-Financial Risk at Morgan Stanley, where he plays a pivotal role in safeguarding the integrity and ethical standards of the firm’s operations across Equities, Fixed Income, and Private Side businesses. With a robust background as a risk manager and attorney, Joshua expertly navigates the complex landscape of regulatory compliance, ensuring that the firm adheres to the stringent requirements of capital markets, securities, and derivatives.
In his current role, Joshua oversees the first line of defense in surveillance and compliance, implementing comprehensive strategies to mitigate non-financial risks associated with client interactions and trading activities. His expertise in equity derivatives and structured finance allows him to develop tailored risk management frameworks that not only protect the firm but also enhance client trust and satisfaction. Joshua’s proficiency in ISDA agreements and legal writing further strengthens his ability to address intricate legal and regulatory challenges, ensuring that Morgan Stanley remains at the forefront of industry standards.
Key projects under Joshua's leadership include the enhancement of surveillance systems to detect and prevent misconduct, as well as the implementation of training programs designed to foster a culture of compliance among employees. His commitment to excellence is underscored by his CFA Charterholder status, which complements his legal acumen and positions him as a thought leader in the intersection of finance and law. Through his strategic oversight and innovative approach, Joshua Birbach continues to drive Morgan Stanley's mission of maintaining the highest levels of conduct and compliance in an ever-evolving financial landscape.
