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Grace B. Vogel


Executive Vice President, Member Regulation

 

Photo of Grace B. Vogel

Grace B. Vogel is Executive Vice President, Member Regulation at FINRA. In this capacity, she oversees the Department of Risk Oversight and Operational Regulation, with responsibility for the ongoing surveillance and annual examinations of firms for financial and operational compliance and areas of broker-dealer risk management and supervision. Prior, Ms. Vogel was EVP of Member Firm Regulation at the New York Stock Exchange. When NYSE Member Regulation consolidated with NASD to form FINRA in 2007, Ms. Vogel began serving in her current role.

Ms. Vogel joined the NYSE from Citigroup, Inc. where she worked from 2001 to 2004, serving as Deputy Controller responsible for financial and regulatory reporting. Prior to joining Citigroup, Ms. Vogel served in various financial roles at J.P. Morgan, from 1992 to 2001, including the Chief Accounting Officer of J.P. Morgan & Co. Inc. and the Chief Financial Officer of J.P. Morgan Securities Inc.

Ms. Vogel was with the NYSE from 1979 to 1992 as managing director, Member Firm Regulation. Prior to her work at the NYSE, Ms. Vogel was a senior examiner at NASD.

Ms. Vogel received her Bachelor of Science in Accounting at the State University of New York in Albany. She has been active in many financial industry organizations, including serving as President of the Financial Management Division of the SIA. She currently serves as a member of the Advisory Council of the University at Albany's Institute for Financial Market Regulation.