Doug Preston

Energizer
DISC Type : I

CEO & Principal at REGULATORY RISK MANAGEMENT ASSOCIATES LLC

Greater Philadelphia, United States

Overview

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.

Personality Overview

Big Picture Person

Full Of Energy

Believer

They are naturally enthusiastic, so take their promise with a pinch of salt.  They are not always early adopters but can be pursuaded by leveraging strong relationships. Unlike C or D types, they are vocal with their opinions but not so much with their questions.

Topics They Care 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.
Risk Management
As the founder of his firm, he focuses on creating workable supervision and control frameworks for a variety of financial institutions.

Media Appearances

Doug has no verified media appearances

Work History

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

Education

JD from Fordham University School of Law
BA from Stony Brook University

More Information

Social Presence :

Prographics :

Exp : 43 Location : Greater Philadelphia, United States Job Level : Leadership Designation : CEO & Principal at REGULATORY RISK MANAGEMENT ASSOCIATES LLC
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Insights For Selling To Doug

During A Call Or A Meeting

DO's

  • Speak enthusiastically with energy, maintain a clear and confident tone
  • Be friendly and entertaining in your conversation
  • Use phrases like ‘people will love’, ‘massive impact’ etc.

DONT's

  • Avoid overloading them with too much detail
  • Don’t be too formal, focus on building comfort and trust
  • Don’t assume a yes just because they have not said no

When Cold Calling

When Writing An Email

While Negotiating & Closing

    The secret to closing fast with Doug is

  • Relationship and trust can be vital with them, sometimes more than anything else.
  • Will you ever get a clear answer from Doug

  • They are unlikely to say no directly, you have to make that decision yourself.

Insights For Deal Planning

    How fast (or slow) will Doug move?

  • They are not the fastest decision makers, their friendly approach can give false positive signals.
  • Can Doug take some risk or not?

  • They can take certain risks that are unlikely to have personal consequences.

You And Doug

Personality Compatibility


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