FINRA Executive and Leadership Team

Jeanette Wingler, the Special Counsel to the Chief Executive Officer at FINRA, provides critical legal and strategic counsel directly to executive leadership. This role involves analyzing complex regulatory issues and advising on policy development to ensure compliance and operational integrity. Wingler supports the CEO's strategic initiatives by offering expert legal interpretation and risk assessment, particularly concerning FINRA's self-regulatory functions. The position demands a deep understanding of securities law and FINRA's operational framework. Jeanette Wingler contributes to maintaining the organization's adherence to its mandate of investor protection and market integrity. This advisory capacity is essential for navigating the evolving landscape of financial regulation and ensuring FINRA's strategic direction aligns with its core mission.

Marina Shchuklinova, the Founder & Chief Executive Officer at FINRA, architects the overarching vision and strategic direction for the organization. As the founder, Shchuklinova established the foundational principles and operational framework that guide FINRA's self-regulatory activities. This leadership position involves setting the agenda for market oversight, investor protection, and regulatory enforcement across the financial industry. Shchuklinova directs cross-functional teams to achieve FINRA's mission of maintaining fair and orderly markets. The CEO's responsibilities include fostering innovation in regulatory technology and ensuring robust compliance mechanisms. Marina Shchuklinova's strategic guidance is paramount in adapting to market changes and upholding the integrity of the financial system, solidifying FINRA's role as a critical regulatory body.

Vincent Doring, the President & Chief Executive Officer at FINRA, drives the strategic execution and operational management of the organization. Doring leads FINRA's mission to protect investors and ensure market integrity through effective regulation and enforcement. This executive role involves overseeing all aspects of FINRA's operations, including member supervision, market surveillance, and enforcement actions. Doring collaborates with industry stakeholders and regulatory bodies to advance best practices in financial services. The President & CEO is responsible for setting performance standards and fostering a culture of compliance and accountability. Vincent Doring's leadership ensures FINRA effectively fulfills its mandate as a self-regulatory organization, adapting to the dynamic financial landscape and safeguarding the investing public.

Jeanette Wingler, the Special Counsel to the Chief Executive Officer at FINRA, provides critical legal and strategic counsel directly to executive leadership. This role involves analyzing complex regulatory issues and advising on policy development to ensure compliance and operational integrity. Wingler supports the CEO's strategic initiatives by offering expert legal interpretation and risk assessment, particularly concerning FINRA's self-regulatory functions. The position demands a deep understanding of securities law and FINRA's operational framework. Jeanette Wingler contributes to maintaining the organization's adherence to its mandate of investor protection and market integrity. This advisory capacity is essential for navigating the evolving landscape of financial regulation and ensuring FINRA's strategic direction aligns with its core mission.

Ann DiGiorgio, the Chief Financial Officer at FINRA, directs all financial operations and fiscal strategy for the organization. DiGiorgio oversees budgeting, financial planning, accounting, and reporting, ensuring robust financial health and compliance with regulatory standards. This critical role involves managing FINRA's financial resources to support its mission of investor protection and market integrity. The CFO provides strategic financial insights to executive leadership, guiding investment decisions and resource allocation across various departments. Ann DiGiorgio is responsible for maintaining transparent and accurate financial records, essential for a self-regulatory organization. Effective financial management under DiGiorgio's purview ensures FINRA can sustain its extensive regulatory and enforcement activities across the financial industry.

Sarah Green, the Vice President & Chief of Staff at FINRA, provides strategic support and operational oversight to executive leadership. Green manages key initiatives, facilitates cross-departmental collaboration, and ensures the efficient execution of strategic priorities. This role involves coordinating efforts across various FINRA divisions to advance the organization's mission of investor protection and market integrity. The Chief of Staff acts as a key liaison, streamlining communication and operational workflows. Sarah Green's responsibilities include driving operational improvements and supporting the implementation of new regulatory policies. This position is vital for ensuring FINRA's leadership team operates cohesively and effectively addresses the complex challenges within the financial industry.

Scott Donaldson, the Chief Technology Officer & Vice President at FINRA, architects and directs the organization's technology strategy and infrastructure. Donaldson oversees the development and implementation of advanced technological solutions that support FINRA's regulatory functions, including market surveillance, data analytics, and cybersecurity. This role is crucial for enhancing FINRA's capacity to protect investors and maintain market integrity in an increasingly digital financial landscape. Scott Donaldson leads the technology teams responsible for maintaining robust IT systems, ensuring data security, and driving innovation in regulatory technology. The CTO's vision ensures FINRA remains at the forefront of technological capabilities, enabling efficient and effective oversight of the securities industry.

Karinya Verghese, the Chief of Staff & Vice President, Strategic Operations, Business & Industry Solutions at FINRA, drives critical operational initiatives and strategic planning. Verghese focuses on enhancing FINRA's engagement with industry participants and developing solutions that support market integrity and investor protection. This role involves overseeing strategic projects, optimizing business processes, and ensuring alignment between FINRA's operational capabilities and its regulatory mandate. Karinya Verghese collaborates with various departments to implement effective business strategies and foster industry best practices. The focus on strategic operations ensures FINRA's infrastructure and services are robust and responsive to the evolving needs of the financial markets.

Holly Middleton, the Vice President and Deputy Chief of Staff, Office of the Chief Legal Officer at FINRA, provides essential support to the Chief Legal Officer and oversees key legal operations. Middleton assists in managing the legal department's strategic initiatives, ensuring compliance with regulatory requirements, and supporting FINRA's mission to protect investors. This role involves coordinating legal policy development, managing internal processes, and facilitating communication within the legal division and across the organization. Holly Middleton's contributions are vital for maintaining the integrity of FINRA's legal framework and enforcement activities. The deputy chief of staff ensures the efficient functioning of the legal office, supporting FINRA's overarching regulatory responsibilities.

Chelsea Woizesko, the Strategic Advisor & Chief of Staff at FINRA, provides high-level counsel on strategic planning and operational execution. Woizesko supports executive leadership in defining and implementing key organizational objectives, focusing on enhancing FINRA's effectiveness in investor protection and market regulation. This role involves analyzing complex market dynamics, advising on policy formulation, and driving initiatives that strengthen FINRA's self-regulatory framework. Chelsea Woizesko facilitates collaboration across departments, ensuring cohesive progress towards strategic goals. The advisory capacity is critical for navigating the evolving financial landscape and maintaining FINRA's commitment to market integrity and fairness.

Priscilla Otero, the Chief Information Officer, Office at FINRA, directs the organization's information technology strategy and infrastructure. Otero oversees the management of FINRA's IT systems, ensuring data security, system reliability, and the implementation of innovative technological solutions to support regulatory operations. This leadership position is fundamental to FINRA's ability to effectively monitor markets, enforce rules, and protect investors. Priscilla Otero leads the IT department in developing and maintaining the technological backbone that enables FINRA's critical functions. The CIO's focus on robust information systems ensures FINRA can adapt to technological advancements and maintain operational excellence in its regulatory oversight.