Susan F. Axelrod is the Broker-Dealer Compliance Oversight Executive for Bank of America. In this role, she has responsibility to oversee activities across all the firm’s broker/dealers to identify opportunities for driving consistency, connectivity and enhanced risk monitoring across the regions and entities. Prior to that she served as Chief Supervisory Officer (CSO) for Merrill Wealth Management where she oversaw supervisory risk culture, driving shared accountability for end-to-end supervision at all levels of leadership. She has been 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. 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 and Member Regulation functions at FINRA. She also played a key role in the integration of NASD and NYSE Member Regulation.
Prior to joining FINRA in 2007, Susan was Chief of Staff to the CEO of NYSE Regulation for three years.
