FacultyFaculty/Author Profile
Susan F. Axelrod

Susan F. Axelrod

Bank of America Merrill Lynch
Chief Supervisory Officer
New York, NY, USA

Susan F. Axelrod is Chief Supervisory Officer for Merrill Lynch Wealth Management. In this capacity, 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 Lynch, 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. In this position, her responsibilities included overseeing operations on a day-to-day basis and acting as a liaison with various business areas including finance, human resources, government relations and communications.

Susan joined the NYSE in 1989 as a Staff Attorney in the division of enforcement and became an Enforcement Director in 1997. Among the cases she handled were those involving specialist and floor broker misconduct, insider trading, upstairs trading, sales practice violations, and financial and operational compliance issues. She received her J.D. from the Hofstra University School of Law in 1989 and her B.A. from Emory University in 1986.

Susan is also a member of the board for Volunteers of America for the Greater New York Area, and her expertise is frequently featured in both television and print. She is married with two children and resides in New York City.

Susan F. Axelrod is associated with the following items:
CHB Chapters  CHB Chapters Examinations and Rulemaking Developments: 2018 Broker/Dealer Regulatory Update - Broker/Dealer Regulation and Enforcement 2018, Tuesday, October 16, 2018
On-Demand Web Programs  On-Demand Web Programs Broker/Dealer Regulation and Enforcement 2018, Tuesday, October 23, 2018, New York, NY

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