FINRA Executive and Leadership Team

Vincent Doring, the President & Chief Executive Officer at FINRA, directs the organization's overarching strategy and operational execution. Doring guides FINRA's mission to protect investors and ensure market integrity through effective regulation. This leadership role involves setting the strategic vision for the organization, overseeing all major departments, and ensuring alignment with regulatory objectives. Doring's focus is on driving efficiency and effectiveness across FINRA's regulatory functions, including examinations, enforcement, and member supervision. The President & Chief Executive Officer ensures that FINRA's operations meet the highest standards of integrity and public trust, fostering a robust and fair securities market. Vincent Doring's strategic direction is crucial for navigating the evolving financial landscape and maintaining confidence in the industry.

Marina Shchuklinova, the Founder & Chief Executive Officer at FINRA, establishes the foundational principles and long-term vision for the organization. Shchuklinova's role centers on architecting the strategic framework that underpins FINRA's self-regulatory functions. This involves defining the core mission of investor protection and market integrity, ensuring robust regulatory oversight. The Founder & Chief Executive Officer spearheads initiatives that enhance FINRA's effectiveness in regulating the securities industry, fostering a culture of compliance and ethical conduct. Shchuklinova's leadership guides the organization's evolution, adapting to market dynamics and technological advancements. Marina Shchuklinova's commitment to establishing a strong regulatory body is fundamental to maintaining a fair and transparent financial marketplace.

Ann DiGiorgio, the Chief Financial Officer at FINRA, manages the organization's financial health and strategic resource allocation. DiGiorgio oversees all financial planning, budgeting, accounting, and reporting functions, ensuring fiscal responsibility and compliance with regulatory standards. This critical role involves developing financial strategies that support FINRA's mission of investor protection and market integrity. The Chief Financial Officer analyzes financial performance, identifies opportunities for cost optimization, and manages financial risks. DiGiorgio's expertise is vital for maintaining the operational stability and long-term sustainability of FINRA's regulatory operations. Ann DiGiorgio's financial acumen ensures that resources are effectively deployed to support FINRA's mandate across the securities industry.

Karinya Verghese, the Chief of Staff & Vice President, Strategic Operations, Business & Industry Solutions at FINRA, drives operational efficiency and strategic initiatives across key business units. Verghese coordinates cross-functional efforts to enhance FINRA's service delivery and regulatory effectiveness, focusing on business and industry solutions. This role involves streamlining operations, implementing best practices, and ensuring seamless execution of strategic plans. The Chief of Staff & Vice President, Strategic Operations, Business & Industry Solutions works closely with executive leadership to align departmental goals with the organization's broader mission of investor protection. Verghese's oversight of strategic operations ensures that FINRA's business solutions are robust and responsive to industry needs. Karinya Verghese's leadership is instrumental in optimizing FINRA's operational framework.

Holly Middleton, the Vice President and Deputy Chief of Staff, Office of the Chief Legal Officer at FINRA, provides critical support and strategic coordination within the legal department. Middleton assists the Chief Legal Officer in managing legal operations, ensuring compliance, and advising on regulatory matters. This position involves overseeing key projects, facilitating communication between legal teams and other departments, and enhancing the efficiency of legal services. The Vice President and Deputy Chief of Staff, Office of the Chief Legal Officer plays a vital role in upholding FINRA's commitment to investor protection and market integrity through sound legal counsel and enforcement. Middleton's contributions are essential for navigating complex legal challenges and maintaining regulatory standards. Holly Middleton's support strengthens the legal framework governing the securities industry.

Scott Donaldson, the Chief Technology Officer & Vice President at FINRA, directs the organization's technology strategy and infrastructure development. Donaldson oversees all aspects of information technology, including systems architecture, cybersecurity, data management, and digital transformation initiatives. This role is pivotal in ensuring that FINRA's technological capabilities effectively support its regulatory mission and enhance market surveillance. The Chief Technology Officer & Vice President drives innovation in technology solutions to improve operational efficiency and strengthen investor protection measures. Donaldson's leadership ensures FINRA maintains a secure, reliable, and advanced technological environment. Scott Donaldson's expertise is crucial for leveraging technology to uphold market integrity and regulatory compliance.

Chelsea Woizesko, the Strategic Advisor & Chief of Staff at FINRA, provides high-level counsel on strategic planning and operational execution. Woizesko collaborates with executive leadership to refine organizational strategies, ensuring alignment with FINRA's core mission of investor protection and market integrity. This role involves advising on critical initiatives, facilitating cross-departmental collaboration, and enhancing overall organizational effectiveness. The Strategic Advisor & Chief of Staff plays a key part in identifying opportunities for strategic growth and operational improvement within the regulatory framework. Woizesko's insights are vital for navigating complex industry challenges and advancing FINRA's objectives. Chelsea Woizesko's advisory capacity strengthens FINRA's strategic direction and operational resilience.

Sarah Green, the Vice President & Chief of Staff at FINRA, enhances operational effectiveness and strategic alignment across the organization. Green supports executive leadership by coordinating key initiatives, streamlining internal processes, and ensuring efficient communication channels. This position is central to driving FINRA's mission of investor protection and market integrity through optimized operations. The Vice President & Chief of Staff oversees critical projects, manages stakeholder engagement, and fosters a culture of accountability. Green's role involves translating strategic objectives into actionable plans, ensuring that FINRA's regulatory functions operate with maximum efficiency. Sarah Green's leadership contributes significantly to FINRA's ability to effectively regulate the securities industry.

Timothy Carter, a member of the Board of Governors at FINRA, provides high-level oversight and strategic guidance for the organization. Carter's responsibilities include ensuring FINRA upholds its mandate for investor protection and market integrity through effective regulation. The Board of Governors collectively sets the strategic direction, approves major policies, and oversees the organization's financial health and operational performance. Carter's involvement contributes to maintaining robust governance standards and ensuring FINRA operates in the public interest. This role is critical for providing independent oversight and ensuring accountability across FINRA's regulatory functions. Timothy Carter's governance contributions are essential for the continued trust and effectiveness of the securities industry's self-regulatory body.

Sylvia Sides, the Technical Project Manager at FINRA, directs the execution of critical technology projects that support the organization's regulatory objectives. Sides manages project timelines, resources, and deliverables, ensuring that technical solutions are implemented efficiently and effectively. This role is vital for advancing FINRA's capabilities in areas such as data analysis, system security, and regulatory reporting. The Technical Project Manager collaborates with various departments to define project scope, mitigate risks, and ensure successful deployment of new technologies. Sides' focus is on delivering robust technical solutions that enhance FINRA's ability to protect investors and maintain market integrity. Sylvia Sides' project management expertise is crucial for the successful implementation of FINRA's technology roadmap.