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AST Names Chief Risk and Compliance Officer, North America

Scuttlebutt | August 28, 2014

American Stock Transfer & Trust Company, a provider of registry services and technology to financial market participants around the globe, has hired Ellen McCarthy as chief risk and compliance officer, North America.

In this role, McCarthy will oversee all compliance functions for the company throughout the United States and Canada. Specifically, she will be responsible for ensuring that all areas of the company meet compliance responsibilities and applicable laws and regulations. Her focus will include working with management to identify and implement enhancements related to the management and monitoring of risk and compliance related functions.

McCarthy joins AST with over 20 years of experience in legal, risk management, and compliance leadership roles. Prior to joining AST, she served as senior counsel with the Financial Industry Regulatory Authority (FINRA), and held positions on several committees...

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