Jenny Raphael
About Jenny Raphael
Jenny Raphael is an Enforcement Investigator with a background in law and regulatory compliance. She has held various positions at FINRA and HSBC, and she holds a Bachelor of Arts in Philosophy, Politics, and Law from Binghamton University and a Juris Doctor from Cardozo School of Law.
Work at FINRA
Jenny Raphael has held multiple positions at the Financial Industry Regulatory Authority (FINRA). She began her tenure as a Legal Extern in Regulatory Operations, Shared Services, Litigation and Policy from 2013 to 2014. Following this role, she served as an Associate Principal Examiner in Member Supervision, Sales Practice from 2014 to 2019. Raphael then progressed to the position of Principal Examiner from 2021 to 2022. Currently, she is employed as an Enforcement Investigator, a role she has held since 2022. Her extensive experience at FINRA highlights her expertise in regulatory compliance and enforcement.
Education and Expertise
Jenny Raphael earned her Bachelor of Arts degree in Philosophy, Politics, and Law from Binghamton University. She furthered her education at Cardozo School of Law, where she achieved her Doctor of Law (JD). This educational background provides her with a strong foundation in legal principles and regulatory frameworks, which she applies in her current role as an Enforcement Investigator.
Previous Experience at HSBC
Prior to her current role at FINRA, Jenny Raphael worked at HSBC as Vice President in Global Banking and Markets, focusing on Regulatory Inquiries and Swap Dealer Compliance. She held this position from 2019 to 2021. Her experience at HSBC contributed to her understanding of regulatory challenges in the banking sector, enhancing her capabilities in compliance and enforcement.
Legal Internships and Early Career
Jenny Raphael began her career with legal internships that provided her with foundational experience in the legal field. She worked as a Legal Intern at NewOak Capital in the Office of the General Counsel for two months in 2013. This early exposure to legal operations and compliance set the stage for her subsequent roles in regulatory environments.