Grace B. Vogel

Executive Vice President, Member Regulation (Retired)
Financial Industry Regulatory Authority

At the end of 2013, Grace B. Vogel retired from the Financial Industry Regulatory Authority, where she served as Executive Vice President, FINRA Member Regulation. In this capacity, she oversaw 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 served as Deputy Controller responsible for financial and regulatory reporting. Prior to joining Citigroup, Ms. Vogel served in various financial roles at J.P. Morgan, 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.

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 (nka SIFMA). She currently serves as a member of the Advisory Council of the University at Albany’s Institute for Financial Market Regulation.

 

 

IFMR Advisory Council Members