Susan Schroeder > WilmerHale > New York, United States > Lawyer Profile
WilmerHale Offices
7 WORLD TRADE CENTER
250 GREENWICH STREET
NEW YORK, NY 10007
NEW YORK
United States
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Susan Schroeder
Work Department
AML and Economic Sanctions Compliance and Enforcement ; Broker-Dealer Compliance and Regulation ; Coronavirus (COVID-19) Task Force ; FinTech ; Investigations ; Securities Enforcement ; Securities Litigation ; White Collar Defense and Investigations
Position
Partner
Vice Chair, Securities & Financial Services Department
Career
As the former head of enforcement and Management Committee member at the Financial Industry Regulatory Authority (FINRA), Susan Schroeder has deep insight into the priorities and procedures of the regulatory bodies that govern the financial services industry, including the US Securities and Exchange Commission (SEC), FINRA, exchanges, and state securities regulators. In addition, Ms. Schroeder calls on her extensive experience overseeing thousands of regulatory 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.
While at FINRA, Ms. Schroeder prioritized coordination with other financial regulators to minimize costly and inefficient regulatory duplication. She led the transformation of FINRA’s Enforcement program to create a unified department with clear priorities, and was the primary architect of FINRA’s updated policy regarding cooperation credit. She has in-depth experience regarding supervisory and anti–money laundering violations, market access, market conduct rules, customer protection, and disclosure violations. Ms. Schroeder draws on this insight and more than a decade of experience in private practice to advise broker-dealers and other clients investigating potential issues and responding to inquiries from the SEC, self-regulatory organizations (SROs), and state securities regulators. In addition, Ms. Schroeder provides counseling on current issues shaping the financial industry, including Regulation BI, the impact of CAT, and shifting financial and operational requirements.
Ms. Schroeder’s significant experience extends beyond securities enforcement; as a former executive responsible for managing a national organization, 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. Ms. Schroeder has also been a frequent public speaker and an active leader in diversity initiatives.
Ms. Schroeder rejoined WilmerHale in 2020 after eight years at FINRA, where she served as the head of enforcement from 2017–2019 and the deputy head of enforcement from 2011–2017. Ms. Schroeder initially joined WilmerHale in 2004, and represented investment banks, investment advisers, broker-dealers, public companies, hedge funds and individuals in a wide range of enforcement matters before the SEC, SROs and state securities authorities.
Memberships
- New York
- US Court of Appeals for the Ninth Circuit
- US District Court for the Eastern District of New York
- US District Court for the Southern District of New York
Education
JD, New York University School of Law, 200
MA, Sociology, University of California, Davis, 1996
BA, Government and Sociology, Georgetown University, 1994
Top Tier Firm Rankings
- Finance > Financial services regulation
- Antitrust > Cartel
- International trade > CFIUS
- Antitrust > Civil litigation/class actions: defense
- Industry focus > Education
- Industry focus > Education
- Industry focus > Education
- Intellectual property > Patents: licensing
- Industry focus > Native American law
- Intellectual property > Patents: litigation (full coverage)
- Dispute resolution > Securities litigation: defense
Firm Rankings
- Media, technology and telecoms > Cyber law (including data privacy and data protection)
- Dispute resolution > General commercial disputes
- M&A/corporate and commercial > M&A: middle-market ($500m-999m)
- Media, technology and telecoms > Outsourcing
- Government > State attorneys general
- Media, technology and telecoms > Technology transactions
- International trade > Trade remedies and trade policy
- M&A/corporate and commercial > Venture capital and emerging companies
- Finance > Capital markets: equity offerings
- M&A/corporate and commercial > Corporate governance
- International trade > Customs, export controls and economic sanctions
- Government > Government contracts
- Government > Government relations
- Dispute resolution > International arbitration
- Healthcare > Life sciences
- Labor and employment > Employee benefits, executive compensation and retirement plans: transactional
- Environment > Environment: regulatory
- Dispute resolution > Financial services litigation
- Finance > Fintech
- Media, technology and telecoms > Media and entertainment: litigation
- Antitrust > Merger control
- Intellectual property > Patents: litigation (International Trade Commission)
- Tax > US taxes: non-contentious
- Finance > Commercial lending
- Real estate > Real estate
- Finance > Restructuring (including bankruptcy): corporate
- Dispute resolution > Appellate: courts of appeals / Appellate: supreme courts (states and federal)
- Finance > Capital markets: debt offerings
- Dispute resolution > Corporate investigations and white-collar criminal defense