Senior Vice President and Chief of Staff/Head of Core Functions, Member Supervision
Ursula Clay is Senior Vice President and Chief of Staff/Head of Core Functions for FINRA Member Supervision. In this role, Ms. Clay provides strategic support to the Executive Vice President in the performance of a diverse range of functions that advance Member Supervision’s operational effectiveness and strategic direction. She is also responsible for managing the Core Functions teams within Member Supervision, which include the Project Management Office, Special Initiatives Group, Policies and Procedures, Regulatory Liaison and Communications.
Prior to joining FINRA in 2019, Ms. Clay spent over 25 years in various senior compliance and legal roles in the securities industry, including positions at Merrill Lynch, Barclays and Morgan Stanley; practicing securities law at Bressler, Amery & Ross; managing her own consulting business; and, most recently, as a Managing Director in Compliance at a start-up FinTech broker-dealer.
Ms. Clay holds a J.D. from Fordham Law School, and a B.A. in International Relations from Syracuse University.