Ellen McCarthy

Ellen McCarthy is Head of Compliance in the U.S. at Computershare. Her background includes serving as Executive Vice President and Chief Risk & Compliance Officer of the American Stock Transfer & Trust Company (AST). There, she directed all corporate compliance and risk functions throughout North America for AST and its affiliated operating entities, including CST Trust Company, Donlin Recano and D. F. King. Prior to joining AST, Ellen held Senior Counsel roles with the New York Stock Exchange (NYSE)/Financial Industry Regulatory Authority (FINRA) Enforcement Department.

Ellen earned a J.D. from St. John’s University and a B.A., summa cum laude, from St. Joseph’s College, where she was class valedictorian. She is admitted to practice before the U.S. Supreme Court and is a Bar Member of the State of New York.

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Ellen McCarthy, Head of Compliance at Computershare, opines on the IIA’s recent updates to its three lines of defense model, positing that they fail to recognize the importance of the independence of the compliance function. The Institute of Internal Auditors (IIA) last month issued a new three lines model, updating its “Three Lines of Defense” model to set forth the IIA’s “latest...

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