Ellen Warwick, former director for enforcement and compliance for the Office of the Comptroller of the Currency (OCC), has joined international law firm Buckley Sandler as a senior counsel in the firm’s Washington, D.C. office.
While at the OCC, Warwick oversaw the Enforcement and Compliance Division, where she was responsible for conducting investigations and taking administrative enforcement actions against national banks and institution-affiliated parties of national banks. She was directly involved in hundreds of OCC enforcement actions and numerous industry-wide prohibitions in the areas of BSA/AML, consumer compliance, and safety and soundness. Prior to joining the OCC, Warwick was a trial attorney at the Department of Justice and an Assistant District Attorney at the Essex County District Attorney’s Office in Massachusetts.
Her arrival follows that of Daniel Stipano, former Deputy Chief Counsel for the OCC, who joined the firm in January 2017. Stipano served for three decades with the OCC and was a key participant in numerous banking regulatory and enforcement milestones. Warwick, who served for 21 years with the OCC, worked closely with Stipano in ensuring the effective and consistent application of OCC bank supervision and enforcement policies for all enforcement actions.
Brendan Clegg, who worked with Warwick for the past three years at the OCC, is joining Buckley Sandler as an associate. At the OCC, he was involved in evaluating compliance of financial institutions and individuals; assessing the conduct of institutions and affiliated parties; and conducting investigations into bank affairs and corporate governance matters.