Katherine Mooney Carroll

Partner at Cleary Gottlieb Steen & Hamilton LLP

Katherine Mooney Carroll

Katherine Mooney Carroll

Partner at Cleary Gottlieb Steen & Hamilton LLP

Biography

Katherine Mooney Carroll is a partner based in the Washington, D.C. office.

Ms. Carroll’s practice focuses on U.S. bank regulatory matters, including the implementation of U.S. regulatory reforms pursuant to the Dodd-Frank Act, regulatory aspects of bank mergers and acquisitions, investments by and in banking organizations, and compliance with U.S. sanctions and anti-money laundering laws. Ms. Carroll has extensive experience advising major U.S. and non-U.S. banking organizations on the Volcker Rule, heightened prudential requirements and the development of U.S. resolution plans or “living wills”. Ms. Carroll also advises financial institutions in investigations and enforcement matters involving U.S. federal banking agencies, the Office of Foreign Assets Control, and U.S. congressional committees.

Ms. Carroll is recognized as a leading financial services regulation lawyer by The Legal 500 U.S., Chambers USA as well as IFLR 1000: The Guide to the World’s Leading Law Firms. In 2015, Ms. Carroll received the “Best in Financial Regulation” award at Euromoney LMG’s Americas Women in Business Law Awards, and in 2013 she was named "Finance Up and Coming Lawyer of the Year" at the Chambers USA Women in Law Awards.

Ms. Carroll’s recent regulatory and transactional experience includes advising:

* The Institute of International Bankers and its internationally headquartered member banks on Dodd-Frank reforms, including the Volcker Rule, resolution planning requirements, heightened prudential requirements, swaps “push-out” and other issues;
* Multiple U.S. and non-U.S. banks on preparation of U.S. resolution plans;
* Oriental Financial Group on its $500 million acquisition of BBVA’s Puerto Rico operations and on two related capital markets offerings;
* Credit Suisse in the establishment of an asset management firm in Brazil;
* Deutsche Bank Securities on the regulatory aspects of a registered public offering by the U.S. Department of the Treasury to sell its warrant position in Zions Bancorporation; also regulatory counsel to Deutsche Bank and Goldman Sachs in the 171.8 million non-cumulative perpetual stock auction by Zions Bancorporation;
* Major financial institutions in connection with their spin-offs of private equity funds and/or their managers and sales of fund interests;
* OneWest Bank in its debit card joint venture with June Bug Enterprises, Inc., an entity affiliated with Earvin "Magic" Johnson; and
* SJB National Bank and its principals in the creation of a national bank “shelf charter” to facilitate U.S. acquisition transactions.

Ms. Carroll is the Vice Chair of the ABA Banking Law Subcommittee on Systemically Important Financial Institutions and serves as a member of the Federal Bar Association Banking Committee Executive Council. She is a frequent speaker on U.S. regulatory reform and other bank regulatory issues, including at recent conferences hosted by the Institute of International Bankers, the American Bar Association and International Bar Association and the DC Bar.

Ms. Carroll joined the firm in 2001 and became partner in 2012. She worked in the firm’s Hong Kong and New York offices before moving to the Washington office in 2003. Ms. Carroll received a J.D. degree from Yale Law School in 2001 and an A.B. degree, magna cum laude, from Harvard College in 1992.

Prior to studying law, Ms. Carroll worked as the Executive Director of the Open Society Institute in Uzbekistan and as the Special Assistant to the Assistant Secretary of Defense for International Security Policy at the U.S. Department of Defense.

Ms. Carroll is a member of the Bars in the District of Columbia and New York.

Overview
Career Highlights

Open Society Institute
U.S. Department of Defense

RelSci Relationships

2595

Number of Awards

2

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Partner at Cleary Gottlieb Steen & Hamilton LLP

Relationship likelihood: Strong

Partner at Cleary Gottlieb Steen & Hamilton LLP

Relationship likelihood: Strong

Partner at Cleary Gottlieb Steen & Hamilton LLP

Relationship likelihood: Strong

Partner at Cleary Gottlieb Steen & Hamilton LLP

Relationship likelihood: Strong

Partner at Cleary Gottlieb Steen & Hamilton LLP

Relationship likelihood: Strong

Partner at Cleary Gottlieb Steen & Hamilton LLP

Relationship likelihood: Strong

Partner at Cleary Gottlieb Steen & Hamilton LLP

Relationship likelihood: Strong

Partner at Cleary Gottlieb Steen & Hamilton LLP

Relationship likelihood: Strong

Partner at Cleary Gottlieb Steen & Hamilton LLP

Relationship likelihood: Strong

Partner at Cleary Gottlieb Steen & Hamilton LLP

Relationship likelihood: Strong

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Katherine Mooney Carroll
Partner at Cleary Gottlieb Steen & Hamilton LLP
Education
Juris Doctorate
Class of 2001

Located in New Haven, Connecticut, Yale Law School is one of the world’s premier law schools. It offers an unmatched environment of excellence and educational intimacy in the form of world renowned faculty, small classes, limitless opportunities for clinical training, and strong encouragement of public service. The Law School is small by design; its impact on the world is measured by its accomplished graduates and its ongoing scholarship and outreach through numerous centers and projects. For students, the experience is unparalleled. The faculty-student ratio supports a vast array of courses and opportunities for independent research and student-organized seminars. Students get practical training by representing real clients in clinics starting in their first year. Throughout, a spirit of collaboration reigns. All first-term courses are ungraded, and subsequent classes are graded honors/pass/low pass. Yale Law School is unique among law schools in that it produces leaders in all walks of life: distinguished deans and faculty members at law schools across the country and the world; industry CEOs and corporate counsels; founders of nongovernmental organizations and other nonprofit entities; entrepreneurs; government servants in federal, state, and local offices and the judiciary--just a few areas in which our alumni's talent and passion and dedication have made a difference. Among the School’s graduates are U.S. Presidents and Supreme Court Justices; and among its far-reaching projects, the Information Society Project and the China Center.

AB, magna cum laude
Class of 1992

The oldest corporation in the Western Hemisphere is the Harvard Corporation, known formally as the President and Fellows of Harvard College. It is the smaller of Harvard’s two governing boards; the other is the Board of Overseers. Following are the members of the Harvard Corporation.

Career History
Partner
2001 - Current

Cleary Gottlieb Steen & Hamilton LLP is an international law firm that provides legal services to clients. The company serves multinational corporations, international financial institutions, sovereign governments and their agencies, and domestic corporations and financial institutions. The company was founded in 1946 and it is headquartered in New York, NY.

Special Assistant to the Assistant Secretary of Defense for International Security Policy
Prior

The Department of Defense is America's oldest and largest government agency. With our military tracing its roots back to pre-Revolutionary times, the Department of Defense has grown and evolved with our nation. The Defense Department manages an inventory of installations and facilities to keep Americans safe. The Department’s physical plant is huge by any standard, consisting of more than several hundred thousand individual buildings and structures located at more than 5,000 different locations or sites. When all sites are added together, the Department of Defense utilizes over 30 million acres of land.

Executive Director
Prior
Political Donations
$2,500
2012

Former President of United States

$500
2008

Former President of United States

Awards & Honors
2004
Admitted to District of Columbia Bar
2003
Admitted to the New York Bar
Other Affiliations
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