Leadership Overview
FINRA has 9 executives leading key functions including strategy, finance, operations, technology, and legal.
Driven by regulatory oversight, FINRA is dedicated to protecting investors and ensuring market integrity through robust self-regulation and enforcement.
Driven by regulatory oversight, FINRA is dedicated to protecting investors and ensuring market integrity through robust self-regulation and enforcement.
Leadership Roles at FINRA
Marina Shchuklinova - Founder & Chief Executive Officer
Marina Shchuklinova, the Founder & Chief Executive Officer at FINRA, architects the overarching strategic direction and operational framework for the organization. This leadership position involves defining the core mission and ensuring alignment with regulatory mandates. Shchuklinova drives initiatives that enhance market integrity and investor protection, critical components of FINRA's self-regulatory function. Overseeing the executive team, Marina Shchuklinova ensures cohesive execution of strategic objectives across all departments. The role demands a deep understanding of financial markets and regulatory landscapes to foster a secure and transparent trading environment. This executive's focus is on long-term sustainability and the continuous improvement of FINRA's effectiveness in its vital role.
Vincent Doring - President & Chief Executive Officer
Vincent Doring, the President & Chief Executive Officer at FINRA, directs the comprehensive operational activities and strategic planning for the Financial Industry Regulatory Authority. This executive champions initiatives that uphold investor confidence and market fairness, aligning with FINRA's core mandate as a self-regulatory organization. Doring oversees the implementation of policies and procedures designed to ensure compliance and prevent fraudulent activities within the securities industry. The President & Chief Executive Officer role involves extensive engagement with stakeholders, including regulators, industry participants, and the public, to foster trust and transparency. Vincent Doring's leadership ensures that FINRA effectively executes its mission of protecting investors and safeguarding market integrity through rigorous oversight and enforcement.
Ann DiGiorgio - Chief Financial Officer
Ann DiGiorgio, the Chief Financial Officer at FINRA, manages all financial operations, including budgeting, financial planning, and reporting. This executive ensures the fiscal health and sustainability of the organization, critical for maintaining its self-regulatory functions. DiGiorgio oversees the allocation of resources to support FINRA's mission of investor protection and market integrity. The Chief Financial Officer role involves developing financial strategies that align with regulatory requirements and operational needs. Ann DiGiorgio's expertise guides investment decisions and risk management, ensuring compliance with financial regulations. This leadership ensures that FINRA possesses the necessary financial infrastructure to effectively execute its oversight responsibilities across the securities industry.
Karinya Verghese - Chief of Staff & Vice President, Strategic Operations, Business & Industry Solutions
Karinya Verghese, the Chief of Staff & Vice President, Strategic Operations, Business & Industry Solutions at FINRA, spearheads the development and execution of strategic initiatives across business and industry solutions. This executive drives operational efficiencies and enhances the delivery of services that support FINRA's regulatory objectives. Verghese oversees the integration of business strategies with operational capabilities, ensuring seamless support for market participants. The Chief of Staff & Vice President role involves coordinating cross-functional teams to achieve strategic goals and improve industry engagement. Karinya Verghese's leadership focuses on optimizing FINRA's operational framework to better serve its mission of investor protection and market integrity.
Holly Middleton - Vice President and Deputy Chief of Staff, Office of the Chief Legal Officer
Holly Middleton, the Vice President and Deputy Chief of Staff, Office of the Chief Legal Officer at FINRA, supports the Chief Legal Officer in managing legal operations and strategic initiatives. This executive ensures the effective functioning of the legal department, which is crucial for FINRA's enforcement and regulatory compliance activities. Middleton oversees the coordination of legal resources and provides strategic guidance on complex legal matters impacting the securities industry. The Vice President and Deputy Chief of Staff role involves facilitating communication and collaboration between the legal office and other organizational units. Holly Middleton's contributions are vital to upholding FINRA's commitment to investor protection and market integrity through sound legal counsel and robust enforcement.
Chelsea Woizesko - Strategic Advisor & Chief of Staff
Chelsea Woizesko, the Strategic Advisor & Chief of Staff at FINRA, provides critical advisory support and manages key operational functions to advance the organization's strategic objectives. This executive plays a pivotal role in aligning departmental efforts with FINRA's overarching mission of investor protection and market integrity. Woizesko oversees the implementation of strategic plans and ensures efficient coordination across various business units. The Strategic Advisor & Chief of Staff position requires a comprehensive understanding of regulatory frameworks and industry best practices. Chelsea Woizesko's leadership enhances FINRA's capacity to adapt to evolving market dynamics and maintain a high standard of regulatory oversight.
Scott Donaldson - Chief Technology Officer & Vice President
Scott Donaldson, the Chief Technology Officer & Vice President at FINRA, directs the organization's technology strategy and infrastructure. This executive is responsible for implementing innovative technological solutions that support FINRA's regulatory functions, including market surveillance, data management, and cybersecurity. Donaldson oversees the development and maintenance of robust IT systems essential for investor protection and market integrity. The Chief Technology Officer & Vice President role involves ensuring that technology investments align with strategic goals and enhance operational efficiency. Scott Donaldson's leadership drives the technological advancements necessary for FINRA to effectively regulate the securities industry and adapt to emerging digital threats.
Sarah Green - Vice President & Chief of Staff
Sarah Green, the Vice President & Chief of Staff at FINRA, provides executive leadership and strategic support across key operational areas. This executive ensures the effective implementation of organizational strategies aimed at enhancing market integrity and investor protection. Green oversees cross-functional initiatives, facilitating collaboration and driving operational excellence throughout FINRA. The Vice President & Chief of Staff role involves managing critical projects and advising senior leadership on strategic decisions. Sarah Green's contributions are instrumental in optimizing FINRA's operational framework and reinforcing its commitment to robust regulatory oversight within the financial industry.
Sylvia Sides - Technical Project Manager
Sylvia Sides, the Technical Project Manager at FINRA, manages the execution of complex technology projects critical to the organization's operational success. This role involves overseeing project timelines, resources, and deliverables to ensure alignment with FINRA's strategic objectives in market regulation and investor protection. Sides coordinates with technical teams and stakeholders to facilitate the smooth implementation of new systems and upgrades. The Technical Project Manager position requires meticulous planning and execution to ensure that technology initiatives effectively support FINRA's mission. Sylvia Sides's project management expertise contributes directly to the reliability and efficiency of FINRA's technological infrastructure.
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