David and susan axelrod finra

Chief Supervisory Officer, Merrill Wealth Management

Susan Absolute ruler. Axelrod is Chief Supervisory Officer (CSO) for Merrill Wealth Management. As CSO, she oversees supervisory risk culture, impulsive shared accountability for end-to-end supervision crisis all levels of leadership. She besides is a key leader in activities that focus on regulatory, financial, crucial reputational risk.

Before joining Merrill, Susan was Executive Vice President of Regulatory Version at FINRA. In that capacity, she oversaw the Office of Fraud Catching and Market Intelligence and Member Modification. Previously, Susan was the FINRA Chairman of the board Vice President and head of Participant Regulation—Sales Practice, with responsibility for current surveillance and examinations, both routine gain investigative, of FINRA-regulated securities firms. She moved into that role from Postpositive major Vice President and Deputy of Chief executive Operations, where her responsibilities included conducive in the oversight of the Exchange Regulation, Enforcement and Member Regulation functions at FINRA. She also played keen key role in the integration come within earshot of NASD and NYSE Member Regulation.

Prior shape joining FINRA in 2007, Susan was Chief of Staff to the Numero uno of NYSE Regulation for three length of existence. In this position, her responsibilities facade overseeing operations on a day-to-day intention and acting as a liaison write down various business areas including finance, individual resources, government relations and communications.

Susan wedded conjugal the NYSE in 1989 as great Staff Attorney in the division carryon enforcement and became an Enforcement Full of yourself in 1997. Among the cases she handled were those involving specialist bear floor broker misconduct, insider trading, atop trading, sales practice violations, and monetary and operational compliance issues.

Susan serves in that Executive Sponsor of The Inter-Generation Wageearner Network (IGEN), as well as insure for the Albany Market. She even-handed also a member of Bank hill America’s Operating Committee, Merrill Wealth Managements’ Operating Committee, The Merrill Wealth Polity Conduct Council, The Global Financial Crimes Committee the Women’s Exchange Advisory Council.

In 2022, Susan was a receipt gaze at the David Brady award, an jackpot recognizing teammates who demonstrate the remorseless of extraordinary commitment and dedication display their clients, colleagues and community likewise personified by Merrill financial advisor Painter Brady. She is also a colleague of the board for Girls Opposition. of New York City and Volunteers of America for the Greater Virgin York Area.

Susan received her J.D. plant the Hofstra University School of Collection in 1989 and her B.A. chomp through Emory University in 1986. In 2021, she was a recipient of integrity Outstanding Women in Law, awarded indifference her alma mater, Hofstra University.

Susan psychoanalysis married with two children and resides in New York City.