Hire a regulator?

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If you want to protect your business from the Internal Revenue Service (IRS), what better strategy is there than to hire a former IRS agent.

If you’re in the financial services industry you want a little extra security that you’re operations will be regulatory-compliant, who should you hire? Why a regulator of course!

That’s the big new flooding the investment media:

After 29 years as the head of the Financial Industry Regulatory Authority’s (FINRA) regulatory operations, Susan Axelrod is moving to Merrill Lynch Wealth Management. Axelrod, who most recently had been serving as senior advisor to FINRA’s CEO Robert Cook will now be serving as her new employer’s Chief Supervisory Officer. In her new role, she’ll be charged with advancing the firm’s “supervisory risk culture by driving shared accountability for end-to-end supervision at all levels of leadership.”

Axelrod announced she was leaving FINRA last October after 28 years to seek opportunities in the private sector. That opportunity is with Merrill. “I’ve built my career around protecting investors,” she said in a statement.

But what if you can’t afford to hire a former regulator? You don’t have to be pennywise and pound foolish. That’s where Patrina can help. We’ve built a business on helping organizations stay on the “straight and narrow” efficiently and cost-effectively. So, let’s talk. Call 212-233-1155 to ask about Patrina’s cost-effective and comprehensive, 8-module compliance solution, and compliant data capture, file storage, and records archiving specifically designed for the financial services community. Be smart. Be covered.

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