Her expertise includes broker-dealer financial responsibility, net capital and customer protection rules, regulatory reporting, capital and liquidity oversight, and sales practice regulation.

Ms. Vogel recently supported PwC advisory teams as a Subject Matter Expert on broker-dealer and investment banking matters, advising on net capital, supervisory structures, compliance manuals, new broker-dealer formations, and material business change applications. She previously served as Senior Managing Director in PwC’s Advisory Practice, leading regulatory compliance engagements for global investment banks and regional broker-dealers.

Prior to PwC, Ms. Vogel served as Executive Vice President, Member Regulation at FINRA and the New York Stock Exchange. In this role, she managed the division responsible for financial, operational, and sales practice regulation of member broker-dealers, oversaw examination programs, contributed to financial and operational policy setting, and drafted and socialized new regulatory rules prior to SEC filing. She also coordinated regularly with U.S. and international regulators, including the SEC, SIPC, FRBNY, FCA, SFC, and FINMA.

Earlier in her career, Ms. Vogel held senior finance leadership roles at Citigroup and J.P. Morgan, including Controller of Citibank Inc., Deputy Controller of Citigroup Inc., Chief Accounting Officer of J.P. Morgan & Co., and Chief Financial Officer of J.P. Morgan Securities. Her responsibilities included regulatory and public reporting, capital computations, financial closing processes, external reporting, rating agency relationships, and management of Federal Reserve and NYSE examination processes.

Ms. Vogel began her regulatory career at the New York Stock Exchange and the National Association of Securities Dealers, where she monitored major U.S. broker-dealers and conducted member firm examinations. She holds a B.S. in Accounting from the State University of New York at Albany and held a Series 27 Financial Principal license.