Carol is an Executive Vice President and member of Protiviti’s executive management team. She also leads the firm’s global Financial Services practice and is a member of the Risk and Compliance practice. Prior to joining Protiviti, she was a Partner with Arthur Andersen where she led the Global Regulatory Practice; a founding member of The Secura Group and leader of the firm’s Risk Management practice; and a regulator with the Office of the Comptroller of the Currency, a bureau of the U.S. Treasury Department. An experienced consultant with more than thirty years of experience, she has extensive experience with numerous regulatory issues that affect multiple industries.
She is a frequent author and speaker on regulatory and other risk issues and has made presentations in the United States, United Kingdom, Mexico, Brazil, Hong Kong, and Australia.
Representative Engagements Include
- Oversaw, in conjunction with external counsel, the special investigation into alleged money laundering of one of the banks indicted in Operation Casablanca and, following the investigation, developed and helped implement a remediation plan to enhance the bank’s anti-money laundering compliance
- Conducted a special investigation of a private banking deposit and brokerage activity for a major European bank and assisted the bank by providing quality control for its client file re-documentation effort
- Assisted numerous large companies develop and implement their anti-money laundering compliance programs; this assistance included, but was not limited to, development of policies and procedures, design and implementation of monitoring procedures and investigation protocols, training, and development of internal audit programs
- Performed, in conjunction with counsel, a regulator-mandated investigation into significant control lapses at the U.S. subsidiary of a major international bank, which involved developing and presenting to the company and its regulators a corrective action plan
- Led a governance review of a large financial institution designed to assess the effectiveness of the board of directors and senior executives in managing the affairs of the institution
- Performed a comprehensive fraud risk assessment for the international operations of a government-owned financial institution
- Developed and assisted multiple clients with implementation of country risk rating methodologies which considered, inter alia, money laundering and other fraud and corruption risks
- Participated in and/or served in a quality assurance role on numerous FCPA projects including risk assessments, program design and implementation, training development, investigations, and audits. These projects were for companies from a variety of industries, including energy, retail, manufacturing, and professional services
- Bachelor of Arts, Colby College
- Master of Arts (Hon), Colby College