As former head of enforcement at the Financial Industry Regulatory Authority (FINRA), Susan Schroeder has deep insight into the priorities that drive regulators and governing bodies in enforcement, internal investigations and compliance matters. She advises clients on enforcement actions across the financial services industry, including before the US Securities and Exchange Commission (SEC), the Commodities Futures Trading Commission (CFTC), FINRA, exchanges, and state securities regulators. Ms. Schroeder also calls on her extensive experience overseeing investigations to assist and advise clients in all aspects of internal investigations, including detecting potential misconduct, complying with reporting obligations and effectively remediating systemic problems.
During her time as Deputy Head and then Head of Enforcement at FINRA, Ms. Schroeder oversaw thousands of complex enforcement matters involving disclosure issues, anti-money laundering programs and violations, market access and market conduct rules, and customer protection obligations. She brings this regulator-level perspective, together with more than a decade of private practice experience, to advising broker-dealers and other financial institutions investigating self-identified issues and responding to regulatory inquiries. In addition, Ms. Schroeder counsels clients on current compliance issues shaping today’s financial industry, including Regulation BI, best execution, technology supervision, account fraud and cybersecurity, and trade reporting. She is a frequent public speaker on financial services regulatory and compliance issues.
Ms. Schroeder’s significant experience extends beyond securities enforcement. As a former executive responsible for managing a nationwide organization, she has first-hand experience with the challenges faced by senior executives and boards. She has worked directly with boards of directors and C-suite executives to advise on all aspects of enterprise risk, including employee relations and personnel management, government relations, and media strategy.
