Sustainable Compliance Strategies, LLC ™ was founded by Ellen McCarthy, an accomplished C-level executive, attorney, and business partner with a proven track record of providing leadership, strategy, execution, and subject matter expertise in meeting regulatory requirements and mitigating risk across enterprises. Leveraging her deep regulatory compliance expertise in leadership roles at NYSE/FINRA as well as in-house, Ellen founded Sustainable Compliance Strategies, LLC ™ to transform organizations by offering tailored, sustainable solutions that provide safety and soundness to the financial services industry.
We offer individualized strategies to help your financial services company achieve and maintain regulatory safety and soundness. Our core belief: sustainable compliance programs must be strategic, holistically tied to defined business objectives. Band-aid approaches do not work. We can enhance your governance, compliance, and risk management framework, and remediate any deficiencies in a sustainable manner that minimizes regulatory and reputation risk. Our goal is to help you avoid the crisis, instead of managing it after it happens (although we can assist if you're already in crisis mode, too).
Are you a bank, broker-dealer, investment adviser, transfer agent, fund, or trust company?
Are you entering the cryptocurrency space, perhaps launching an Initial Coin Offering (ICO) or venturing into blockchain technology? Get in touch with us today to learn more about how Sustainable Compliance Strategies, LLC ™ can tailor solutions that will help you manage the uncertainties of doing business in an ever-changing regulatory landscape.
News & Publications
Our CEO was selected to discuss the emerging importance of operational risk management at the Center for Financial Professionals' (Cefpro) 6th Annual Risk Americas Convention, America’s premier regulatory risk Convention held in New York City. Immediately following her session, Ms. McCarthy led a luncheon roundtable on effective governance models supporting the independence of the risk management function.
Is Your Compliance Manual Sustainable? © We can help. Read our ebook for guidance on pitfalls to recognize to mitigate your regulatory and reputation risk. Then, book an appointment so we can tailor a strategy to make YOUR compliance program sustainable.