Managing Director | Operational Integrity Services
New York - National Office
30 Rockefeller Plaza, 41st Floor
Susan is a Deloitte & Touche LLP managing director in Deloitte's Advisory practice with more than 15 years of experience in legal and regulatory roles with the SEC, national securities exchanges, and broker-dealers where she was responsible for regulatory programs including compliance, rulemaking, surveillance, investigations, examinations, and enforcement. She also worked at law firms where she provided guidance to domestic and foreign investment banks, investment advisors, exchanges, and broker-dealers on matters related to securities regulation including compliance and enforcement. Susan has a deep understanding of brokerage and exchange operations including regulatory controls, trading systems, market surveillance, and clearance and settlement. She focuses on regulatory and operational risk management, regulatory compliance, trading, and system compliance.
2018 Securities Regulatory Outlook
Organizations continue progress on regulatory issues
Robo-advising platforms carry new risks