Course DescriptionRisk is inherent in all business. But with the increased focus on risk culture by the SEC and other regulators, proper management of risk is essential for business success and longevity. To implement risk strategies, companies generally look to their in-house and outside counsel.
In this program, attorney and risk management specialist Ellen McCarthy discusses this regulatory landscape and gives attorneys the tools they need to develop and implement risk management best practices for their clients.
- Rachel R.
Meet the Lecturer(s)
Ellen McCarthy, an accomplished attorney with over 25 years of experience in legal, risk management, and compliance leadership, has established a strong and consistent record of advocating for initiatives that transform organizations and ensure operational excellence. Most recently Ms. McCarthy served as Executive Vice President and Chief Risk and Compliance Officer of the American Stock Transfer & Trust Company (AST) where she directed all corporate compliance and risk functions throughout the U.S and Canada for the company and its affiliated operating entities, including CST Trust Company and DF King. An active member of an industry-wide Risk and Compliance Committee as well as the company’s Trust Indenture, New Business Acceptance, and New Initiative Approval Process Committees, Ellen provided leadership and subject matter expertise to clients and the Board, and led a senior executive team composed of CCOs, CROs, AML officers, and privacy officers in the U.S. and Canada. Prior to joining AST, Ms. McCarthy advanced through increasingly responsible Senior Counsel roles with the New York Stock Exchange (NYSE) and the Financial Industry Regulatory Authority (FINRA), holding key positions on several committees that focused on driving continuous improvements through cross-functional collaborations with internal and external stakeholders, and advanced the organization’s diversity, inclusion, and educational initiatives. During her tenure with NYSE and FINRA, she planned and executed high impact regulatory investigations, including know your customer (KYC) and suitability, anti-money laundering (AML), cyber security/protection of sensitive customer data, complex structured products, alternative investments, initial public offerings (IPOs), conflicts of interest, and private placements. Ellen earned her Bachelor of Arts in History and Business Management from Saint Joseph's College, where she graduated Summa Cum Laude and was class Valedictorian, and a Juris Doctor from Saint John's University School of Law. She is a Bar Member of the State of New York and is currently on the faculty of the Practicing Law Institute. She received Working Mother Magazine's "Working Mother of the Year Award" in 2013. Born and raised in Brooklyn Heights, NY, Ms. McCarthy currently resides in Breezy Point, NY with her husband and two teenaged sons. Active in her community, Ellen sits on the Board of the Saint Matthias Catholic Academy and is a past Board member of the Cobble Hill Health Center and Stella Maris High School.