Ellen Warwick brings more than 30 years of bank regulatory and enforcement experience to her position as Senior Counsel in Buckley Sandler LLP’s Washington, D.C., office. She advises on all aspects of bank regulatory and compliance issues, represents clients in state, federal, and foreign banking enforcement actions, and provides assistance in establishing, maintaining, and monitoring Bank Secrecy Act/Anti-Money Laundering & Sanctions (BSA/AML) compliance programs.
Prior to joining the firm, Ms. Warwick was at the Office of the Comptroller of the Currency (OCC), for more than 20 years, where she served as Director of the Enforcement and Compliance Division from 2012-16. In this role, she was extensively involved in hundreds of OCC enforcement actions and numerous industry-wide prohibitions in the areas of BSA/AML, consumer compliance, and safety and soundness.
Before joining the OCC in 1995, Ms. Warwick served as a Trial Attorney for the United States Department of Justice and an Assistant District Attorney for the Essex County’s District Attorney’s Office in Massachusetts.
Ms. Warwick received her LL.M. from Boston University School of Law; J.D. from the New England School of Law; and B.A., cum laude, from Boston College.
U.S. banks and other institutions are under intense scrutiny from law enforcement agencies as well as federal and state prudential regulators for their Bank Secrecy Act/Anti-Money Laundering (BSA/AML) compliance programs. Recent enforcement orders from the Office of the Comptroller of the Currency...Webcast
Former Director of Enforcement and Compliance for the Office of the Comptroller of the Currency Joins Buckley Sandler
WASHINGTON, DC (March 13, 2017) – Buckley Sandler LLP announced today that Ellen M. Warwick , former Director for Enforcement and Compliance for the Office of the Comptroller of the Currency (OCC), has joined the firm as a Senior Counsel. Resident in the firm’s Washington, DC office, Warwick will...Press Releases
"BSA/AML Compliance and Enforcement" By Daniel P. Stipano, Ellen M. Warwick, Brendan Clegg, and Benjamin W. Hutten (ABA Bank Compliance)
After nine months in office, it seems unlikely that the administration’s efforts to change the existing financial industry regulatory regime will affect enforcement of the Bank Secrecy Act (BSA) and its implementing regulations. To the contrary—it appears that law enforcement and national security...Articles
Daniel P. Stipano, Ellen M. Warwick, and Benjamin W. Hutten Authored The Review of Banking & Financial Services Article, "FinCEN's Customer Due Diligence and Beneficial Ownership Rule"
On May 11, 2016, the U.S. Department of Treasury’s Financial Crimes Enforcement Network (“FinCEN”) published a long-awaited final rule, Customer Due Diligence Requirements for Financial Institutions (the “Final Rule”). The Final Rule, which impacts anti-money laundering (“AML”)-related obligations...Articles
Daniel P. Stipano and Ellen M. Warwick Authored a Currents Article, "Banks Can Provide Services to MSBs While Meeting BSA Requirements"
In recent years, "de-risking" – the categorical termination of customer accounts – has resulted in the loss of access to the banking system for scores of businesses. But none have been harder hit than money services businesses (MSBs). Check cashers, payday lenders, money transmitters, and other...Articles
Daniel P. Stipano, Ellen M. Warwick, and Brendan Clegg Authored Banking Exchange Article, "Don’t Get Burned by Coming CDD Rule"
FinCEN’s issuance of the final customer due diligence (CDD) rule in May 2016 significantly altered the Bank Secrecy Act / Anti-Money Laundering (BSA/AML) compliance landscape.1 Insured depository institutions, among other covered financial entities, must comply with the rule by May 11, 2018. The...Articles
- LL.M. Boston University School of Law
- J.D., New England School of Law
- B.A., Boston College (cum laude)
- District of Columbia
Director of the Enforcement and Compliance Division, Office of the Comptroller of the Currency
Trial Attorney, United States Department of Justice
Assistant District Attorney, Essex County’s District Attorney’s Office