FacultyFaculty/Author Profile
Ellen McCarthy

Ellen McCarthy

American Stock Transfer & Trust Company, LLC
Executive Vice President, Risk and Compliance
Brooklyn, NY, USA


Ellen is Executive Vice President, Risk and Compliance. Ellen is based in AST's headquarters in New York and oversees all compliance functions for the company throughout the United States and Canada. Ellen is responsible for ensuring that all areas of the company meet compliance responsibilities and applicable laws and regulations. Her focus includes working with management to identify and implement enhancements related to the management and monitoring of risk and compliance related functions.

Ellen is an accomplished attorney with over 25 years of experience in legal, risk management and compliance leadership roles. She has a track record of advocating for initiatives that transform organizations and ensure operational excellence. Prior to joining AST in August 2014, Ellen served as Senior Counsel with the Financial Industry Regulatory Authority (FINRA). She held positions on several committees for FINRA that focused on driving continuous improvements through cross-functional collaborations with internal and external stakeholders.

Ellen serves on the Risk and Compliance Committee of the Securities Transfer Association (STA). She was Valedictorian and graduated summa cum laude with a B.A. degree in History and Business Management from Saint Joseph's College and received a J.D. degree from Saint John's University School of Law. Ellen received Working Mother Magazine's "Working Mother of the Year Award" in 2013.

Share
Email

  • FOLLOW PLI:
  • twitter
  • LinkedIn
  • GooglePlus
  • RSS

All Contents Copyright © 1996-2017 Practising Law Institute. Continuing Legal Education since 1933.

© 2017 PLI PRACTISING LAW INSTITUTE. All rights reserved. The PLI logo is a service mark of PLI.