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.
Compendium
May 15, 2022Candidly, I think one of the organizations that helped ignite a lot of conversation around culture was the NY Federal Reserve Bank (FRB), under Bill Dudley. The culture conference that the NY FRB started included senior representatives from large financial institutions and members of their Boards, all being invited to speak and to lead on the topic of culture and how it effects conduct at a firm ... (cont)
