Patricia Murphy
Managing Director
Quick facts
20+ years of leadership experience in financial services
Focuses on assisting financial institutions, broker-dealers, hedge funds and private equity firms to assess enterprise and compliance risks, address supervisory and operational issues and solve complex problems
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Patricia Murphy is a Managing Director with A&M’s Financial Industry Advisory Services in New York.

With more than 20 years of leadership experience in financial services, she has broad knowledge on a wide range of broker-dealer and banking matters, practices and supervisory and business challenges, as well as extensive experience in investment banking and capital markets.

She focuses on assisting financial institutions, broker-dealers, hedge funds and private equity firms to assess enterprise and compliance risks, address supervisory and operational issues and solve complex problems.

Before A&M, Ms. Murphy served five years as the Chief Counsel, Investment Banking, with broker-dealer Keefe, Bruyette & Woods and was a member of the fairness opinion and capital commitment committees. In addition to providing legal advice and guidance to the investment banking and capital markets departments in the U.S., Hong Kong and U.K. broker-dealers, she managed external legal relationships, referrals and budgeting. She also conducted internal reviews and investigations in response to regulatory inquiries and examinations.

Also at KBW, Ms. Murphy originated, structured and executed complicated recapitalization and divestiture transactions for clients and successfully assisted banking clients in resolving complex challenges during the recent financial crisis, including the sale of the assets and liabilities of Aurora Bank, a wholly-owned subsidiary of Lehman Bancorp and the $600 million recapitalization of Guaranty Financial Group.

Earlier, Ms. Murphy worked for 10 years with broker-dealer Sandler O’Neill + Partners as Managing Director in its Investment Banking Group and Deputy General Counsel. In these roles, she drafted and implemented firm policies and procedures for new business lines and operations, including sales and trading, syndicate and settlement; responded to regulatory inquiries and managed on-site regulatory examinations; created and managed the capital markets execution platform for both debt and equity capital markets; and structured and executed complex securities transactions. This included collateralized debt obligations of trust preferred securities aggregating about $7 billion and the underlying execution and documentation for more than 625 financial institution issuers. She also advised clients in executing complicated recapitalizations, rights offerings, public offerings and private placements.

Ms. Murphy was also a Managing Director in the Legal Department of Cowen and Company, providing legal advice to the investment banking, equity capital markets and private equity departments across all industry groups and guidance relating to compliance issues impacting the broker-dealer. While in private practice, she advised financial institutions and investment banks.

She began her career as an attorney in the Division of Corporation Finance of the U.S. Securities and Exchange Commission.

Ms. Murphy earned a bachelor's degree in finance from Ithaca College, where she currently serves on the Alumni Board of Directors. She also earned a J.D. from Albany Law School of Union University and is licensed to practice law in the State of New York. She holds FINRA Series 24, 7, 63 and 79 licenses and serves on the FINRA Series 79 Committee.