Jules Carter helps clients navigate complex commercial litigation and financial regulatory compliance issues. She remains on the cutting-edge of legal issues to help clients remain up-to-date on compliance matters.

Overview

Jules has assisted in the representation of clients involved in a range of commercial disputes in federal and state courts, including matters involving fraud, unfair and deceptive trade practices, and litigation arising out of commercial contracts and transactions.

Her financial regulatory experience includes helping financial institution clients respond to regulatory enforcement actions and address the supervisory concerns of state and federal banking authorities. However, her experience is not limited to remediation efforts, as she also assists bank holding company clients in their annual recovery and resolution planning efforts. Jules also advises on various legal issues for a range of financial services providers, including globally systemic, regional, and community banks, as well as fintech companies, money services businesses, and brokerage firms.

Jules is also involved in significant efforts related to anti-money laundering (AML) and countering the financing of terrorism (CFT), staying up to date on significant policy developments in the AML/CFT compliance space. She has helped to prepare training materials for compliance professionals as they reexamine their internal controls and undertake initiatives to update their compliance programs in accordance with AML/CFT legislation. In addition, she has assisted with the review of subscription agreements for clients who, as registered broker-dealers, will also be expected to achieve compliance with AML/CFT policy changes.

Jules also closely monitors the ever-evolving role of artificial intelligence and machine learning as enabling capabilities for risk-based compliance in financial institutions.

Representative Experience

  • Drafted a Customer Due Diligence, Sanctions Compliance and Export Controls Policy for a commodities exporter as part of its remediation efforts in response to sanctions compliance issues raised by the Department of Justice
  • Prepared regulatory submissions for a G-SIFI bank, resolving regulatory matters (Consent Orders and Matters Requiring Attention) with the Federal Reserve, OCC and CFPB
  • Prepared board governance playbooks for a bank holding company and each of its Material Entities as part of the holding company’s annual resolution plan submission

Notable

Notable

  • Chair, Moore & Van Allen’s Black Attorney Resource Group
  • Member, Association of Certified Anti-Money Laundering Specialists (ACAMS)

  • Leading the MVA Pro Bono Policing Project
  • North Carolina Pro Bono Honor Society, 2020

News

Blogs and Resources

Blog Posts

Education

J.D., Duke University School of Law, 2019

B.A., University of North Carolina Chapel Hill, 2016 with honors

Admissions

  • North Carolina, 2019
  • Western District of North Carolina, 2019
  • North Carolina Privilege License, 2019
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