Doug Preston in

Doug Preston

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CEO & Principal at REGULATORY RISK MANAGEMENT ASSOCIATES LLC
📍 Greater Philadelphia, United States

Doug Preston is the CEO and Principal of Regulatory Risk Management Associates. With a career built at Bank of America Merrill Lynch, where he was Chief Compliance Officer for several divisions, he specializes in supervision and control processes. He holds a JD from Fordham University School of Law.

He led the pivotal regulatory merger and transition when Bank of America and Merrill Lynch combined in 2009.

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Experience
43 Years
Current Role
CEO & Principal
Job Level
Leadership
Location
Greater Philadelphia, United States
Personality Overview

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Communication Style
Decision Approach
Work Preference

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Priorities

Topics Doug cares about

Regulatory Compliance
His career is dedicated to establishing supervision and control processes for broker-dealers, banks, and investment advisers, now leading his own specialized firm.
Financial Mergers
He played a key leadership role in the significant regulatory merger and transition when Bank of America and Merrill Lynch combined forces in 2009.
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Career

Work history

1-2017
CEO & Principal
REGULATORY RISK MANAGEMENT ASSOCIATES LLC
1-2009 - 12-2016
Chief Compliance Officer, Broadcort Clearing
Merrill Lynch
9-2005 - 12-2016
MD, Senior Compliance Executive
Merrill Lynch
9-2005 - 12-2016
MD, Senior Compliance Executive
Bank of America Merrill Lynch
1-2004 - 9-2005
SVP, Senior Special Counsel
FINRA (Financial Industry Regulatory Authority)
In the press

Media appearances

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Education
JD
Fordham University School of Law
BA
Stony Brook University
Social presence
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Behavioral profile

DISC profile (public)

DISC behavioral profile

Dominance, influence, steadiness, and calculativeness scores with guidance on how this person prefers to communicate and decide.

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