“My view, for a long time, has been that most professionals in the securities industry work hard to get it right,” says Susan Axelrod in a Ground Breakers interview. Now Chief Supervisory Officer for Merrill Lynch Wealth Management, Axelrod served previously as Executive Vice President of Regulatory Operations at the Financial Industry Regulatory Authority (FINRA), tasked by Congress with protecting investors by making sure the broker-dealer industry operates fairly and honestly. “Focusing on conduct and culture and holding individuals accountable,” Axelrod says, “can send the message that — regardless of who you are, the revenue you bring in, or the role you play — misconduct can be career ending, or at least career-limiting.” [Read the article here]
How can predictive modeling and a focus on behavioral science help to cut down on issues of misconduct in the industry?
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