CFI Professional Insights Series: Featuring Susan M. Boudrot, Compliance Professional and Consultant

Susan Boudrot is currently President of Susan M. Boudrot Consulting LLC. She was formerly the Global CCO of TD Ameritrade. Prior to TD Ameritrade, she ran her own successful consulting practice.

She previously was CCO of Fidelity Personal & Workplace Investments, Vice President in Compliance at Charles Schwab, CCO and General Counsel at Brown & Company Securities Corp., an Enforcement Attorney with the Securities and Exchange Commission, and an associate in private practice. She has a JD and an MBA from Boston University, and a BA from Regis College.

In her interview with CFI, Susan covers:

  • What she enjoyed most and least about working for the SEC
  • Observations regarding the evolution of the discount brokerage business
  • Changes in litigation related to democratization of investment
  • Where firms need to apply greater focus in compliance
  • Why new products and services are problem areas for compliance
  • How compliance should convey “hard truths” to senior management

To learn more about Susan and her opinions on a wide range of topics, click here to read our entire interview.