Leadership Overview
FINRA has 10 executives leading key functions including regulatory oversight, financial management, strategic operations, and technology infrastructure.
Committed to market integrity and investor protection, FINRA maintains rigorous standards for securities firms while fostering transparency across the entire United States financial landscape.
Committed to market integrity and investor protection, FINRA maintains rigorous standards for securities firms while fostering transparency across the entire United States financial landscape.
Leadership Roles at FINRA
Jeanette Wingler - To The Special Counsel & Chief Executive Officer
Jeanette Wingler, the To The Special Counsel & Chief Executive Officer at FINRA, directs high-level legal advisory functions and executive governance. Wingler manages complex regulatory inquiries, ensuring that all internal policies align with federal securities laws and self-regulatory mandates. By coordinating between the Office of the Special Counsel and executive leadership, Jeanette Wingler facilitates seamless communication regarding enforcement actions and arbitration protocols. This role involves analyzing evolving market risks to provide actionable guidance for the broader organization. Through meticulous oversight of legal frameworks, Wingler strengthens the regulatory posture of the firm. The To The Special Counsel & Chief Executive Officer maintains constant vigilance over compliance standards, protecting the integrity of the financial markets. Ultimately, Wingler drives the strategic legal initiatives necessary for maintaining public trust and operational excellence within the regulatory environment.
Vincent Doring - President & Chief Executive Officer
Vincent Doring, the President & Chief Executive Officer at FINRA, oversees the entire scope of self-regulatory operations and strategic market enforcement. Doring defines the long-term vision for investor protection, ensuring that member firms adhere to the highest standards of conduct. By managing the transition from legacy regulatory models to modern, data-driven oversight, Vincent Doring optimizes the efficiency of arbitration and enforcement operations. This leadership position requires constant engagement with industry stakeholders and government entities to address emerging financial threats. Through the implementation of robust policy frameworks, Doring secures the stability of the securities industry. The President & Chief Executive Officer coordinates with the Board to align organizational goals with the mission of market transparency. Ultimately, Doring fosters a culture of accountability that sustains the credibility of the financial system across the United States.
Marina Shchuklinova - Founder & Chief Executive Officer
Marina Shchuklinova, the Founder & Chief Executive Officer at FINRA, architects the foundational strategies that govern the organization's approach to market regulation and member oversight. Shchuklinova drives the development of innovative enforcement mechanisms designed to detect and mitigate financial misconduct. By aligning the firm's operational objectives with the evolving needs of the securities industry, Marina Shchuklinova ensures that regulatory practices remain effective and relevant. This role involves high-level collaboration with industry leaders to establish best practices for market participation. Through the continuous refinement of internal governance structures, Shchuklinova enhances the overall efficacy of the regulatory framework. The Founder & Chief Executive Officer monitors macro-level trends to anticipate shifts in the financial landscape, proactively adjusting organizational priorities. Ultimately, Shchuklinova secures the long-term viability of the firm as a premier self-regulatory entity.
Ann DiGiorgio - Chief Financial Officer
Ann DiGiorgio, the Chief Financial Officer at FINRA, manages the fiscal health and resource allocation strategies essential for sustaining large-scale regulatory operations. DiGiorgio oversees budgeting, financial reporting, and long-term capital planning to ensure the organization maintains the necessary infrastructure for effective market oversight. By analyzing revenue streams from member assessments and operational costs, Ann DiGiorgio optimizes financial performance while supporting the firm's mission. This leadership role involves providing critical data to the executive team to inform strategic decision-making regarding enforcement and arbitration investments. Through rigorous financial controls, DiGiorgio mitigates fiscal risks and ensures compliance with internal and external audit requirements. The Chief Financial Officer coordinates with department heads to align departmental spending with the broader organizational goals. Ultimately, DiGiorgio provides the financial stability required to uphold the integrity of the securities markets.
Aaron Poh - Vice President, Strategic Operations & To The Chief of Staff & Chief Financial Officer
Aaron Poh, the Vice President, Strategic Operations & To The Chief of Staff & Chief Financial Officer at FINRA, coordinates the alignment between financial planning and operational execution. Poh manages the flow of information between the Office of the Chief of Staff and the finance department, ensuring that strategic initiatives receive the necessary funding and resource support. By analyzing operational performance metrics, Aaron Poh identifies opportunities for cost-efficiency and process optimization within the regulatory framework. This role involves supporting the Chief Financial Officer in long-term capital allocation and budget management. Through the synchronization of strategic goals, Poh enhances the organization's ability to respond to market challenges. The Vice President, Strategic Operations & To The Chief of Staff & Chief Financial Officer facilitates communication across executive levels to ensure cohesive decision-making. Ultimately, Poh drives the operational efficiency required for sustainable regulatory success.
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, executes cross-functional initiatives that streamline regulatory processes and industry engagement. Verghese manages the integration of business solutions into the firm's operational workflow, ensuring that member firms receive efficient support and clear guidance. By overseeing strategic operations, Karinya Verghese aligns internal resources with the needs of the financial industry, facilitating smoother interactions between regulators and market participants. This role involves coordinating complex projects that span multiple departments, from enforcement to technology. Through the implementation of operational improvements, Verghese enhances the speed and accuracy of regulatory responses. The Chief of Staff & Vice President, Strategic Operations, Business & Industry Solutions maintains a focus on scalability, ensuring that the organization can adapt to changing market demands. Ultimately, Verghese drives the operational excellence necessary for effective self-regulation.
Scott Donaldson - Chief Technology Officer & Vice President
Scott Donaldson, the Chief Technology Officer & Vice President at FINRA, architects the digital infrastructure required for advanced market surveillance and data analysis. Donaldson oversees the development of scalable cloud platforms and cybersecurity measures that protect sensitive financial data. By integrating machine learning and automated monitoring tools, Scott Donaldson enhances the firm's ability to detect suspicious trading patterns across the United States. This leadership role involves collaborating with the executive team to prioritize technology investments that support regulatory enforcement and arbitration efficiency. Through the modernization of legacy systems, Donaldson ensures that the organization remains at the forefront of financial technology. The Chief Technology Officer & Vice President manages the technical teams responsible for maintaining high-availability systems that support critical regulatory functions. Ultimately, Donaldson drives the digital transformation necessary for maintaining market integrity in a data-intensive environment.
Chelsea Woizesko - Strategic Advisor & Chief of Staff
Chelsea Woizesko, the Strategic Advisor & Chief of Staff at FINRA, directs the administrative and strategic priorities of the executive office. Woizesko manages the implementation of high-level initiatives, ensuring that leadership decisions translate into actionable regulatory outcomes. By facilitating communication between the Board and the executive team, Chelsea Woizesko ensures alignment on critical policy matters and enforcement strategies. This role involves analyzing organizational performance to provide the Chief Executive Officer with insights on market trends and internal operational health. Through the coordination of cross-departmental efforts, Woizesko streamlines the decision-making process and enhances organizational agility. The Strategic Advisor & Chief of Staff monitors the progress of key projects, ensuring that all activities support the firm's mission of investor protection. Ultimately, Woizesko drives the strategic focus necessary for maintaining a robust and effective regulatory environment.
Sarah Green - Vice President & Chief of Staff
Sarah Green, the Vice President & Chief of Staff at FINRA, oversees the operational rhythm of the executive leadership team. Green manages the execution of strategic priorities, ensuring that all departments remain focused on the core mission of market regulation and investor protection. By coordinating the activities of the executive office, Sarah Green facilitates efficient communication and decision-making across the organization. This role involves managing complex stakeholder relationships and ensuring that leadership initiatives are implemented effectively. Through the oversight of internal processes, Green enhances the firm's ability to address emerging regulatory challenges. The Vice President & Chief of Staff provides critical support to the executive team, ensuring that all operational goals align with the broader regulatory framework. Ultimately, Green drives the organizational cohesion necessary for maintaining high standards of conduct within the financial industry.
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, manages the operational support for the legal and enforcement divisions. Middleton coordinates the administrative functions that enable the Chief Legal Officer to oversee complex regulatory investigations and arbitration proceedings. By streamlining the workflow within the Office of the Chief Legal Officer, Holly Middleton ensures that legal teams have the resources necessary to uphold market integrity. This role involves managing the flow of information between legal counsel and other executive functions, facilitating a unified approach to regulatory enforcement. Through the implementation of efficient administrative processes, Middleton enhances the productivity of the legal department. The Vice President and Deputy Chief of Staff, Office of the Chief Legal Officer supports the development of legal strategies that protect investors and maintain fair market practices. Ultimately, Middleton drives the operational support required for effective legal oversight.
Explore Leadership Teams in Federal
The ACT Government is the executive governing body for the Australian Capital Territory of Australia. Established as a territory in 1911 and granted self-government in 1989, the ACT Government provides comprehensive public services including healthcare, education, infrastructure, and legal services to residents of the Australian Capital Territory. The government operates across multiple sectors including medical services, legal administration, finance management, and information technology to support the territory's governance and development.
Company Leadership CM
LL
SS
SL
The National Institutes of Health (NIH), founded in 1887 and based in Bethesda, Maryland, is an agency of the United States Department of Health and Human Services and is the primary agency of the United States government responsible for biomedical and health-related research.
Company Leadership DR
LP
SV
The National Weather Service (NWS) provides comprehensive weather forecasts, warnings, and alerts for various regions across the United States. Their services include local forecasts, severe weather alerts, climate predictions, and safety information to help the public prepare for weather-related events. The intended clients range from everyday citizens to emergency responders and government agencies seeking reliable weather data. NWS also engages in educational initiatives to promote weather awareness and preparedness.
Company Leadership BK
EL
KH
The Office of the Comptroller of the Currency operates as a critical regulatory authority within the banking sector, overseeing the charter, regulation, and supervision of national banks and federal savings associations. This federal agency functions as an independent bureau within the Department of the Treasury, wielding substantial authority over the nation's banking system and maintaining rigorous oversight standards that shape industry practices and institutional compliance frameworks. The organization's core mission centers on ensuring the safety and soundness of national banking institutions while promoting fair access to financial services and protecting consumer interests. Through comprehensive examination programs, the agency evaluates bank capital adequacy, asset quality, management effectiveness, earnings performance, and liquidity positions. The office develops and enforces regulations that establish minimum standards for operational conduct, risk management, and financial stability across the institutions it supervises. Beyond traditional supervisory functions, the agency actively shapes banking policy and regulatory guidance that influences market-wide practices. The organization issues interpretive letters, policy statements, and regulatory guidance that clarify compliance expectations and address emerging challenges within the financial services landscape.
Company Leadership AB
AM
KB
JD
Frequently Asked Questions Regarding FINRA Top Executives and Leadership Team
Unlock more people and company data
