Ellen McCarthy
  • Female
  • Breezy Point, NY
  • United States
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Ellen McCarthy updated their profile
Jan 15

Profile Information

Tell us more about who you are, what you do and where you want to be. What are your main business challenges? (Tip: provide your current Job Title, Industry, company or/and paste your Linkedin profile here). Use as many relevant keywords as possible. Tell us what you can offer the community. What sorts of discussions, events, and activities you can participate in.
Attorney and C-Level Executive Specializing in Compliance and Risk Management

I am an accomplished C-level executive, attorney, and business partner to the Board of Directors and senior-level stakeholders, providing leadership, strategy, execution, and legal/subject matter expertise in meeting regulatory requirements and mitigating risk across enterprises. I have had a distinguished career implementing initiatives that have transformed organizations and ensured operational excellence.

I am particularly strong in driving continuous improvements and producing results through cross-functional collaborations with internal and external stakeholders.

* Advising and partnering with company executives across departments and functions on business strategy, regulatory and legal issues, and policy and procedure development.
* Researching and analyzing unique legal issues and legislative changes impacting organization compliance and business issues.

* Regulatory Compliance
* Risk Management
* Securities Regulations
* Investor Protection
* Policy Development
* Diversity & Inclusion
* Investigations
* Negotiations
* Employee Development

I have been selected as a panelist on Enterprise Risk Management at the upcoming Center for Financial Professionals' 6th Annual Risk Americas | Risk & Regulation Convention (May 2017).
I am interested in
Speaking engagements, Consulting offers, Career opportunities, Expertise requests

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