Susan Schroeder, Executive Vice President and Head of Enforcement, oversees disciplinary matters related to infractions found through FINRA’s market surveillance and regulatory oversight programs.
Ms. Schroeder’s tenure at FINRA began in 2011, when she was named Senior Vice President and Deputy Chief of Enforcement.
Before joining FINRA, Ms. Schroeder was a partner in WilmerHale’s Securities Litigation and Enforcement practice, where she represented financial institutions in SEC, FINRA and state enforcement matters. Prior to that, she was a litigation associate at Kirkland & Ellis. Early in her career, she was a consultant at Andersen Consulting with responsibility for designing business processes for new business units.
Ms. Schroeder holds a Juris Doctorate from New York University School of Law, an M.A. from the University of California at Davis, and a B.A. from Georgetown University.