David and susan axelrod finra
Susan axelrod
FINRA EVP of Regulatory Operations Susan Axelrod Announces ...!
Chief Supervisory Officer, Merrill Wealth Management
Susan F. Axelrod is Chief Supervisory Officer (CSO) for Merrill Wealth Management.
As CSO, she oversees supervisory risk culture, driving shared accountability for end-to-end supervision at all levels of leadership. She also is a key leader in activities that focus on regulatory, financial, and reputational risk.
Before joining Merrill, Susan was Executive Vice President of Regulatory Operations at FINRA.
David and susan axelrod finra
In that capacity, she oversaw the Office of Fraud Detection and Market Intelligence and Member Regulation. Previously, Susan was the FINRA Executive Vice President and head of Member Regulation—Sales Practice, with responsibility for ongoing surveillance and examinations, both routine and investigative, of FINRA-regulated securities firms.
She moved into that role from Senior Vice President and Deputy of Regulatory Operations, where her responsibilities included assisting in the oversight of the Market Regulation, Enforcement